债券交易违规
Search documents
云南信托山西信托中融信托等三家信托收到自律处分 均被警告责令改正
Xi Niu Cai Jing· 2026-01-09 05:31
Group 1 - The self-regulatory disciplinary information released by the interbank market traders association involves three trust companies: Yunnan Trust, Shanxi Trust, and Zhongrong Trust [2] - Yunnan Trust received a severe warning and was ordered to rectify issues related to internal controls and compliance management in bond trading, as it failed to fulfill prudent management responsibilities [3][4] - Shanxi Trust was warned and ordered to rectify issues in transaction management, including conducting transactions not based on genuine demand and charging fees beyond interest during the purchase of debt financing instruments [4] - Zhongrong Trust was also warned for not conducting transactions based on genuine demand and charging additional fees during the purchase of debt financing instruments [4] Group 2 - The former chairman of Shanxi Trust has been reassigned to a new position as the director and general manager candidate for the Shanxi Provincial Affordable Housing Investment Company [4]
三家信托公司涉债券交易违规 被交易商协会予以自律处分
Zhong Zheng Wang· 2026-01-01 09:42
Group 1 - The China Interbank Market Dealers Association disclosed self-regulatory disciplinary actions against three institutions: Yunnan International Trust Co., Shanxi Trust Co., and Zhongrong International Trust Co. for violations in bond trading and trust product management [1][2] - Yunnan Trust was severely warned for failing to fulfill prudent management responsibilities, facilitating unauthorized personnel to participate in bond trading, and engaging in illegal holding transactions of debt financing instruments [1] - Shanxi Trust was warned for conducting transactions not based on genuine demand, charging fees beyond interest during the purchase of debt financing instruments, and assisting issuers in non-market-based issuance of debt financing tools [1] - Zhongrong Trust was similarly warned for not basing transactions on real demand and charging additional fees during the purchase of debt financing instruments [2] Group 2 - All three institutions were ordered to conduct comprehensive and in-depth rectifications to address the identified issues in their internal controls and compliance management related to bond trading [1][2]