Core Viewpoint - The Shanghai Stock Exchange has issued a written warning to Caitong Securities Co., Ltd. for failing to diligently verify key information in bond issuance applications, which affected the accuracy of the documents submitted [1][3]. Group 1: Violations and Consequences - Caitong Securities did not perform due diligence in verifying the use of funds in the application documents for a non-public bond issuance, impacting the accuracy of the bond application [1][3]. - The subsidiary, Caitong Securities Asset Management Co., Ltd., repeated the application for the same underlying asset while knowing it was under review, violating principles of honesty and trustworthiness [1][3]. - The quality control department of Caitong Securities failed to effectively verify the materials submitted by the project team and did not ensure compliance management was effective [1][3]. Group 2: Regulatory Framework - The actions of Caitong Securities violated multiple regulations, including the Shanghai Stock Exchange's rules on non-public bond issuance and asset-backed securities [4]. - The regulatory measures taken include a written warning, emphasizing the need for strict adherence to laws, regulations, and professional standards to protect investors' rights [4].