湖南证监局决定，对该营业部采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。上述营 业部应高度重视，对上述问题认真整改，并于收到决定书之日起一个月内提交书面整改报告，湖南证监 局将在日常监管中持续关注整改情况。 作为营业部负责人亦"难辞其咎"。湖南证监局指出，陈叶丽作为华宝证券长沙茶子山东路证券营业部负 责人，对营业部的违规行为负有主要责任。湖南证监局决定对陈叶丽采取出具警示函的行政监管措施， 并记入证券期货市场诚信档案。 【导读】华宝证券一营业部及负责人遭警示 中国基金报记者 孙越 券商"违规揽客"再遭罚！9月17日，湖南证监局披露，华宝证券长沙茶子山东路证券营业部及相关负责 人，被采取出具警示函行政监管措施。 今年以来，A股市场交投热度持续攀升，市场整体投资氛围日益浓厚，展现出较强的市场活力。但在此 背景下，部分证券公司分支机构及所属从业人员为争夺市场份额、扩大业务规模，忽视合规经营底线， 各类违规操作现象呈现多发态势。 华宝证券一营业部及负责人遭警示 9月17日，湖南证监局披露，华宝证券长沙茶子山东路证券营业部存在开户招揽不规范，合规管理不到 位，未能积极配合现场检查工作开展等问题。 "违规揽客 ...

【导读】华宝证券一营业部及负责人遭警示 券商"违规揽客"再遭罚！9月17日，湖南证监局披露，华宝证券长沙茶子山东路证券营业部及相关负责人，被采取出具警示函行政监管措施。 今年以来，A股市场交投热度持续攀升，市场整体投资氛围日益浓厚，展现出较强的市场活力。但在此背景下，部分证券公司分支机构及所属从业人员为 争夺市场份额、扩大业务规模，忽视合规经营底线，各类违规操作现象呈现多发态势。 华宝证券一营业部及负责人遭警示 9月17日，湖南证监局披露，华宝证券长沙茶子山东路证券营业部存在开户招揽不规范，合规管理不到位，未能积极配合现场检查工作开展等问题。 湖南证监局决定，对该营业部采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。上述营业部应高度重视，对上述问题认真整改，并于收到 决定书之日起一个月内提交书面整改报告，湖南证监局将在日常监管中持续关注整改情况。 作为营业部负责人亦"难辞其咎"。湖南证监局指出，陈叶丽作为华宝证券长沙茶子山东路证券营业部负责人，对营业部的违规行为负有主要责任。湖南证 监局决定对陈叶丽采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。 | 中国正秀监督管理委员会 CHINA S ...

Core Viewpoint - Donghai Securities has been fined 60 million yuan due to compliance failures related to a major asset restructuring project from 2015, which has implications for its ongoing IPO process and overall financial health [2][4][6]. Group 1: Penalty Details - Donghai Securities received a notice from the China Securities Regulatory Commission (CSRC) for failing to fulfill its duties as an independent financial advisor during the restructuring of Jinzhu Cihang in 2015, leading to a penalty of 60 million yuan, which includes the confiscation of 15 million yuan in business income and a fine of 45 million yuan [2][4]. - The penalty is significant for Donghai Securities, as its net profit for the previous year was only 23 million yuan [2][6]. Group 2: Impact on Business Operations - The company has been experiencing a decline in its investment banking business, with revenues dropping from 480 million yuan in 2022 to 199 million yuan in 2024, representing year-on-year declines of 33.77% and 38.86% respectively [5]. - The number of investment banking personnel has also decreased from 196 in 2022 to 148 in 2024, indicating a contraction in operational capacity [5]. Group 3: IPO Process and Compliance Issues - Donghai Securities has been attempting to transition from the New Third Board to A-share listing since 2015, but its IPO process has stalled for over three years due to ongoing compliance issues related to the Jinzhu Cihang restructuring [6][7]. - The recent penalty adds further uncertainty to the company's IPO prospects, as compliance is a critical factor for successful listing [6][7]. - The company has acknowledged the penalty and stated that it will take corrective actions, but it must also demonstrate its compliance capabilities to regulators and investors to mitigate negative impacts on its IPO timeline [4][6].

经济日报：券商莫为销量失了声誉 金十数据4月23日讯，文章称，代开不实收入证明、违规揽客、员工无证上岗……今年以来，已有10余 家券商分公司或营业部因各类违规行为收到监管罚单，引发广泛关注。违规乱象频现，暴露出部分证券 从业人员合规意识淡薄，为揽客户、冲业绩不惜踩踏监管红线。有的券商员工为吸引更多投资者或销售 更多高风险金融产品，主动帮助客户作弊，拔高客户风险承受等级；有的雇佣他人顶替展业，以返还佣 金、销售提成、赠送礼品等方式委托第三方协助开户等，屡屡在监管"雷区"试探。作为资本市场把关 人，券商要恪守执业道德，坚守合规底线。一方面强化内部管控，加强对分支机构、从业人员及业务流 程的全方位管理，营造不敢违规、不能违规的风气。另一方面优化绩效考核制度，将合规性放在更重要 的位置，不能为了销量失了声誉。 ...