Core Viewpoint - The Xiamen Securities Regulatory Bureau has imposed penalties on two employees of Changcheng Guorui Securities for illegal stock trading activities, highlighting compliance issues within the company [1][3][5]. Group 1: Regulatory Actions - Two employees, Chen Zhongbin and Zheng Han, were penalized for trading stocks and convertible bonds using company accounts, with total transaction amounts of 1.9246 million yuan and 5.7667 million yuan respectively [1][3]. - Chen Zhongbin made a profit of 4,069.91 yuan, while Zheng Han incurred a loss of 48,600 yuan [1][3]. - The Xiamen Securities Regulatory Bureau found sufficient evidence to support the violations of the Securities Law, leading to fines of 40,000 yuan for Zheng Han and the confiscation of Chen Zhongbin's illegal gains along with a 40,000 yuan fine [5]. Group 2: Company Performance - Changcheng Guorui Securities reported a revenue of 372 million yuan for 2024, reflecting a year-on-year growth of 9.24% [6]. - The net profit attributable to shareholders decreased by 9.28% to 95.437 million yuan [6]. Group 3: Compliance Issues - The Xiamen Securities Regulatory Bureau has mandated corrective measures for Changcheng Guorui Securities due to insufficient control over employee investment behaviors, a long-term vacancy in the Chief Information Officer position, and inadequate rectification of certain private equity fund projects [7]. - These issues indicate a weak compliance culture and inadequate internal control mechanisms within the company [7].