2025年12月31日，内蒙古证监局及广东证监局对金融街证券主体及其下属营业部、7名执业人员共发布7张"罚单"。 | 序号 | 标题 | 文号 | 发文日期 | | --- | --- | --- | --- | | 1 | 关于对马甜采取出具警示函措施的决定 | 【2025】029号 | 2025-12-31 | | 2 | 关于对鲁文龙、王鑫、王丽虹采取出具警示函 措施的决定 | 【2025】031号 | 2025-12-31 | | 3 | 关于对金融街证券股份有限公司采取责令增加 内部合规检查次数措施的决定 | 【2025】030号 | 2025-12-31 | | 4 | 关于对郝丽珍采取出具警示函措施的决定 | 【2025】028号 | 2025-12-31 | | 5 | 关于对康诚采取出具警示函措施的决定 | 【2025】 027号 | 2025-12-31 | 内蒙古证监局指出，鲁文龙、王鑫、王丽虹在金融街证券牙克石青松路证券营业部工作期间，私自推介销售非公司代销的北京恒泰普惠信息服务有限公司平 台的产品。 内蒙古证监局对金融街证券上述员工均采取出具警示函的行政监督管理措施。 广东证监局指出 ...

Core Viewpoint - Jinsong New Materials (300849.SZ) received a warning letter from the Zhejiang Securities Regulatory Bureau due to multiple violations, including improper management of related party transactions and failure to disclose information in a timely manner [1][2][3] Group 1: Regulatory Issues - The Zhejiang Securities Regulatory Bureau identified three main issues: improper use of raised funds, mixed management of enterprises controlled by the actual controller, and failure to timely disclose related party transactions [2][3] - The company acknowledged a related party transaction involving a construction contract worth 150 million yuan, which was not initially recognized as such [2][3] - Key executives, including the chairman and financial director, are held responsible for the violations, and the company has committed to internal review and compliance improvement [3] Group 2: Financial Performance - For the first half of 2025, Jinsong New Materials reported revenue of 151 million yuan, a year-on-year decline of 9.33%, and a net loss of approximately 8.8 million yuan, a significant drop of 1663.95% [4][5] - Domestic sales decreased by 7.30% and international sales fell by 13.98%, attributed to macroeconomic conditions and internal accounting practices [4][5] - The company has faced continuous losses over the past three years, with cumulative losses exceeding 69 million yuan, despite revenue growth from 243 million yuan in 2022 to 333 million yuan in 2024 [5]