2025年11月，惠州亿纬锂能（维权）股份有限公司（以下简称"亿纬锂能"）顺利通过ISO 37301:2021/GB/T 35770-2022合规管理体系及ISO 37001:2025反贿 赂管理体系认证，成为国内锂电池行业首家同步获此三项标准认证的企业。 亿纬样本：合规筑基 行稳致远 此次认证标志着亿纬锂能在合规治理与反贿赂管理方面全面接轨国际标准，为企业全球化运营夯实了制度根基。作为积极响应和践行国家发展战略的新能 源企业，亿纬锂能深耕行业20余年，已构建覆盖消费电池、动力电池、储能电池等多领域的产品矩阵，为智慧生活、绿色交通、能源转型、未来探索等全 场景提供可靠能源解决方案。秉持"电池是一个生命体，我们始终抱着敬畏的心，做好每一颗电池"的理念，亿纬锂能现拥有研发人员6000+、申请专利 10000+、主导及参与制定行业标准100+，并在国内及全球多地布局生产基地与区域总部，积极践行"全球制造、全球交付、全球服务"战略，深度融入全 球新能源产业链与供应链。 为推动企业可持续发展，亿纬锂能以"全球运营，合规筑基，治理完善，行稳致远"为合规方针、以"商业贿赂零容忍，守正创新赢未来"为反贿赂方针，严 格遵守中国 ...

【文/羽扇观金工作室】 近日，重庆金融监管局一纸罚单将重庆三峡银行推上风口浪尖。这家重庆市属重点城商行因内控管理不 到位、违规发放贷款、贷前贷中贷后"三查"严重不尽职、虚增普惠金融服务数据、金融资产风险分类不 准确导致拨备计提不足等八项核心违规行为，被处以890万元罚款。 更值得关注的是，计划财务部副总经理刘鸣昊因员工行为管理不到位被终身禁业，按照银行内控的基本 原则，财务部门应当对业务数据进行独立复核，对异常指标及时预警。但从虚增普惠金融服务数据这一 违规行为来看，财务条线非但没有发挥监督制衡作用，反而可能参与了数据造假的全过程。 监管此次追责范围延伸至已离任人员，传递出明确信号：合规责任不因职务变动而免除。丁世录虽已于 2022年落马，但其任期内的违规行为仍被追溯处罚。这一做法打破了过去人走账销的侥幸心理，对在任 高管形成强烈震慑。 引发行业关注的是，时任董事长丁世录、计划财务部副总经理刘鸣昊被终身禁止从事银行业工作，副行 长王良平、胥玲等6名中高层管理人员分别被取消任职资格5至10年或警告罚款。 这已是该行年内第二次领到百万级罚单——7月，其因反洗钱、账户管理等九项违规被央行重庆市分行 罚款559.2万 ...

针对APP被下架事件，中银证券相关负责人向21财经·南财快讯记者回应称，公司始终高度重视用户信 息保护工作，致力于为客户提供安全、可靠、放心的互联网应用使用体验。接到上海市通信管理局11月 通报指出的问题后，我司迅速开展整改并按要求提交整改及自评估报告。针对APP在部分应用商城被下 架问题，我司正积极与相关方沟通了解情况，力争尽快解决。我们充分尊重并虚心接受监管提出的意见 建议，切实采取有效措施保障整改到位。 中银证券投资关系部门则表示，公司正在以对应渠道进行核实确认，将争取尽快恢复上架，目前客户可 通过公司官网提供的浏览器网址或云平台下载新一代APP。至于股价波动问题，暂无法确认是否与APP 下架直接相关，但目前公司生产经营一切正常。 公开资料显示，中银证券成立于2002年，2020年于上交所主板上市，注册资本27.78亿元，主要股东包 括中银国际控股有限公司、中国石油集团资本有限责任公司等。 12月18日，中银证券（601696）（601696.SH）股价低开低走，截至收盘报14.24元/股，跌幅4.81%，总 市值跌破400亿元。 消息面上，上海市通信管理局12月17日通报，因侵害用户权益行为，中银证券 ...

编辑丨叶映橙 | 27 | 乙才甲醇 | 乙才甲聘集团有限公司 | 沪ICP备2024070051号-3A | | --- | --- | --- | --- | | 28 | 乙才甲聘人 才服务 | 乙才甲聘集团有限公司 | 沪ICP备2024070051号-4X | | 29 | 医賞家 | 上海益中巨泰（集团）股份有限公司 | 沪ICP备06001119号-8X | | 30 | 大小大建筑 设备整机促 销平台 | 沃尔沃建筑设备投资(中国)有限公司 | 沪ICP备10007045号-13X | | 31 | 智慧悠悦 | 上海保利物亚酒店复理集团有限公司 | 沪ICP备09097591号-4A | | 32 | 来来推 | 上海京东到家友恒电商信息技术有限公司 | 沪ICP备16027790号-3A | | 33 | 立到丁目 | 立邦投资有限公司 | 沪ICP备14021878号-12X | | 34 | 中银证券 | 中银国际证券股份有限公司 | 沪ICP备08011679号-5A | | 32 | 上行惠相伴 | 上海银行股份有限公司 | 沪CP备14020744号-20X | | 36 | 众 ...

Core Viewpoint - Chongqing Sanxia Bank has faced significant regulatory penalties due to compliance failures, highlighting systemic issues in its internal controls and management practices [1][2][3]. Regulatory Penalties - Chongqing Sanxia Bank was fined 8.9 million yuan for eight core business violations, including inadequate internal controls and improper loan issuance, with its chairman receiving a lifetime ban from the banking industry [1][2]. - The bank had previously been fined 5.592 million yuan in July for various regulatory breaches, leading to a total of 14.492 million yuan in penalties within five months, indicating persistent compliance issues [3]. Management Accountability - The bank's former chairman, Ding Shilu, faced severe repercussions for his role in the violations, including a lifetime ban and previous disciplinary actions for serious misconduct [2][3]. IPO Challenges - Chongqing Sanxia Bank has struggled with its IPO process, facing multiple setbacks including changes in sponsorship and regulatory investigations, which have stalled its progress in the capital market [4]. - The bank's IPO application was further complicated by the implementation of a new registration system in March 2023, resulting in it being classified as a "laggard" among banks seeking to go public [4]. Capital Pressure - Despite an increase in revenue and profits, the bank's capital adequacy ratios have declined, with the core Tier 1 capital ratio dropping to 8.46%, indicating weakened risk resilience [5]. Future Development Strategy - The bank aims to focus on serving local economies and small enterprises while aligning with national strategies in technology, green finance, and digital finance, as outlined by its chairman [6]. - Recommendations for the bank include leveraging state-owned resources for financing, exploring strategic partnerships, and preparing for future capital-raising activities [6].

Core Viewpoint - Chongqing Sanxia Bank has faced significant regulatory penalties due to compliance failures, highlighting systemic issues in its internal controls and risk management practices [1][3][4]. Regulatory Penalties - On December 12, Chongqing Sanxia Bank was fined 8.9 million yuan for eight violations, including inadequate internal controls and improper loan issuance [1][3]. - The bank's management, including former chairman Ding Shilu, faced severe repercussions, with Ding receiving a lifetime ban from the banking industry [3][4]. - This penalty follows a previous fine of 5.592 million yuan in July for various regulatory breaches, totaling 14.492 million yuan in fines within five months [4][6]. Management Accountability - The bank's senior management has been held accountable, with significant penalties imposed on other executives, including a 10-year disqualification for the former vice president [4][5]. - The ongoing compliance issues reflect a deeper, systemic problem within the bank's operational framework [4][5]. IPO Challenges - Chongqing Sanxia Bank has struggled with its IPO process, facing delays and complications due to regulatory scrutiny and management issues [6][7]. - The bank's IPO application was stalled after the implementation of the A-share registration system in March 2023, resulting in it being classified as a "laggard" among its peers [7][8]. Financial Performance - As of the end of the third quarter of 2025, the bank reported total assets of 365.345 billion yuan, an 8.72% increase from the beginning of the year, and a net profit of 999 million yuan, up 5.43% year-on-year [7][8]. - Despite revenue growth, the bank's capital adequacy ratios have declined, with the core tier one capital ratio dropping to 8.46% [8][9]. Strategic Direction - The bank aims to focus on serving local economies and small enterprises while enhancing its financial services in technology, green finance, and digital banking [9][10]. - Analysts suggest leveraging state-owned shareholder resources to improve financial stability and explore strategic partnerships to enhance operational efficiency [10][11].

Core Viewpoint - The Shenzhen Securities Regulatory Bureau has taken administrative regulatory measures against Pioneer Futures Co., Ltd. due to multiple issues including internal control deficiencies, inadequate management of trader suitability, non-compliance in futures trading consulting, and insufficient network and information security management [1][2]. Group 1: Regulatory Violations - The Shenzhen Securities Regulatory Bureau detailed several violations by Pioneer Futures, covering areas such as business operations, compliance risk control, information disclosure, and network security [2]. - Specific issues include insufficient due diligence on third-party internet marketing partners, ineffective control over internet marketing activities, and violations of trader suitability management by guiding clients in risk assessment processes [2][3]. - Misleading promotional content regarding trading strategies on the Pioneer Futures app was identified, which does not comply with the regulations governing futures trading consulting [2]. Group 2: Internal Control Deficiencies - The regulatory body highlighted that the identified issues reflect significant internal control deficiencies at Pioneer Futures, violating multiple regulatory provisions [3]. - Violated regulations include the "Measures for the Supervision and Administration of Futures Companies" and the "Measures for the Management of Futures Trading Consulting Business," among others [3]. Group 3: Required Remediation - The announcement mandates Pioneer Futures to rectify the identified issues, including establishing a comprehensive internal control system, enhancing compliance risk management for internet marketing and futures trading consulting, and improving network and information security measures [4]. - Pioneer Futures has the right to appeal the administrative measures within 60 days or file a lawsuit within six months, but the regulatory measures will remain in effect during this period [4].

Core Viewpoint - The recent draft of the "Regulations on the Sales Behavior of Publicly Raised Securities Investment Funds" aims to strengthen investor protection and standardize industry practices, addressing misleading sales activities and ensuring the best interests of investors are prioritized [1][11]. Group 1: Fund Promotion and Marketing - Fund managers and sales institutions must objectively and comprehensively present fund performance, ensuring that performance periods exceed six months and avoiding annualized displays for periods under one year [2][3]. - Fund performance rankings should be based on publicly available data from fund evaluation agencies for periods of three years or more, including necessary details such as agency name and evaluation date [2]. - The use of terms like "positive return" or "probability of positive return" is prohibited to prevent misleading investors about risks [2]. Group 2: Sales Practices and Accountability - Fund managers and sales institutions are required to avoid exaggerated claims and misleading language in their promotions, particularly regarding fund size and growth [3]. - A mechanism for accountability will be established for short-term sales behaviors, such as inducing investors to frequently redeem or subscribe to funds [1][10]. Group 3: Live Streaming Regulations - Fund managers and sales institutions must ensure compliance in live streaming activities, including signing agreements with platforms and ensuring that only qualified personnel conduct fund-related discussions [5][7]. - Live streaming platforms must disable tipping features, and all promotional content must adhere to relevant legal standards [6][7]. Group 4: Disclosure of Fees and Information - Fund managers and sales institutions must provide clear and comprehensive information about various fees associated with fund purchases, ensuring investors have adequate time to review this information [8][9]. - Different share classes must have their fee structures disclosed, and sales service fees must be clearly defined [9]. Group 5: Performance Assessment Optimization - The performance assessment mechanisms for sales activities should align with long-term objectives, focusing on investor outcomes rather than short-term sales metrics [10]. - Key performance indicators should include investor profitability and retention, with a minimum assessment period of one year for sales activities and three years for investor outcomes [10].

Core Viewpoint - The recent appointment of Chief Compliance Officers (CCOs) in multiple trust companies is driven by regulatory requirements and the need for industry transformation and stable operations [1][3][5]. Group 1: Regulatory Requirements - The establishment of CCOs in trust companies is a response to the revised "Trust Company Management Measures," which mandates that CCOs be appointed by January 1, 2026 [1][5]. - The "Financial Institutions Compliance Management Measures," effective from March 1, 2023, requires financial institutions to have a CCO who reports directly to the board [4][5]. Group 2: Industry Transformation - The appointment of CCOs aims to enhance compliance governance capabilities, prevent systemic risks, and address previous issues of compliance management at the executive level [3][5]. - CCOs will play a crucial role in integrating compliance into strategic decision-making and business processes, shifting compliance from a support function to a decision-making role [5][6]. Group 3: Risk Management - The trust industry has faced numerous compliance violations, with penalties reaching 18.03 million yuan in 2025, highlighting the need for robust risk management frameworks [3][5]. - CCOs are expected to lead the development of comprehensive risk control mechanisms, ensuring compliance checks are integrated into key business stages [3][5]. Group 4: Enhancing Industry Credibility - The establishment of CCOs is also aimed at restoring the credibility of the trust industry, which has suffered from inadequate information disclosure and other issues that have harmed investor interests [3][5]. - By strengthening oversight, CCOs can improve the transparency of trust products and rebuild trust among high-net-worth clients [3][5].

Core Viewpoint - ZTE Corporation (stock code: 00763.HK) has responded to recent media reports regarding its involvement in a compliance investigation under the U.S. Foreign Corrupt Practices Act (FCPA) [1][4]. Group 1: Company Response - The company has acknowledged the media reports and confirmed that it is currently in communication with the U.S. Department of Justice regarding the FCPA compliance investigation [1][4]. - ZTE emphasizes its commitment to building and maintaining a robust compliance management system and opposes all forms of corruption, maintaining a zero-tolerance policy towards any potentially involved individuals [5]. Group 2: Legal and Operational Status - The company intends to vigorously protect its legal rights through legal means in response to the investigation [5]. - ZTE states that its production and operations are currently normal [5].