刚刚收到2527万元的央行罚单，北京银行又卷入41亿的巨额索赔案件。12月4日，北京银行收到江苏省 苏州市中级人民法院送达的《应诉通知书》，成为康得新虚假陈述责任纠纷案的被告之一。 北京银行与康得新的纠葛要追溯到6年前。2019年康得新财务造假案曝光，北京银行西单支行作为其资 金托管方就曾因现金管理业务陷入银行责任边界争议。 值得注意的是，今年5月，北京银行被卷入过另一起与康得新相关的诉讼。浙江中泰创赢资产管理有限 公司起诉康得新，索赔金额超过51亿元。彼时北京银行及其西单支行分别为被告二、被告三。而在本次 公告中，北京银行也强调自己"并非该案第一责任被告主体"，评估认为案件"不会对利润产生实质影 响"。 康得新被索赔超90亿元元 北京银行两度卷入相关诉讼 12月6日，北京银行发布公告称，12月4日，该行收到江苏省苏州市中级人民法院送达的《应诉通知 书》，该行涉及胡菊玲等康得新股票投资者以证券虚假陈述责任纠纷对康得新复合材料集团股份有限公 司（以下简称"康得新"）提起的诉讼。 公告显示，此案有40位被告，被告一为康得新，北京银行和北京银行西单支行位列被告二十九和被告三 十。该案诉讼请求包括请求法院判令康得新向 ...

上周五下班时分，一则《涉嫌违法提供融资，500亿天风证券被证监会立案》的新闻刷爆全网。尽管原大股东当代集团早已退出天风证券股东行列，但那份 潜在的"或有负债"，却始终如达摩克利斯之剑，悬在这家券商的头顶。 新闻引爆之余，两个关键词迅速在圈内被唤醒："债券女王"翟晨曦，与她曾执掌的新华基金。 2014年，翟晨曦受天风证券董事长之邀出任固定收益部总经理，带领团队一路高歌，"债券女王"名号响彻固收江湖。2015年，年仅36岁的她晋升副总裁，主 管固收与国际业务。 随后几年，一番资本运作悄然展开：2019年天风并购恒泰证券，翟晨曦出任恒泰联席总裁；2020年天风收购恒泰近30%股权，旗下新华基金也从"明天系"转 入"天风系"。同年9月，翟晨曦兼任新华基金联席董事长，次年4月转正，其核心操盘手身份清晰凸显。 然而近年新华基金却屡陷风波： 管理层频繁更迭：2023年3月翟晨曦卸任董事长，2024年12月她引入的于春玲也告离任，随后由金融街证券（前恒泰证券）党委副书记、总裁银国宏接棒； 投研人才持续流失：崔建波、蒋茜等绩优基金经理相继离开，现有团队平均任职年限仅约2年，投研实力明显削弱； 诉讼缠身、风险暴露：2023年初， ...

Core Viewpoint - The article highlights the increasing regulatory scrutiny on brokerage firms in November, with multiple penalties issued for violations related to compliance and ethical conduct [2][3][6]. Group 1: Regulatory Actions - On November 28, four brokerage employees were banned for five years from client development roles due to serious violations of professional conduct and lack of compliance awareness [4][6]. - The Zhejiang Securities Regulatory Bureau identified these individuals as inappropriate candidates, citing breaches of the "Regulations on the Integrity of Securities and Futures Practitioners" and the "Compliance Management Measures for Securities Companies" [4][6]. - Just ten days prior, another employee was banned for similar misconduct, indicating a pattern of regulatory enforcement [4]. Group 2: Compliance Failures - Many brokerage branches faced penalties for weak internal controls, inadequate compliance management, and improper performance evaluation mechanisms [6][7]. - Specific issues included lack of compliance review processes, unmonitored computer systems, and performance metrics tied solely to transaction volumes, as seen in cases involving Dongfang Securities [6][7]. - Other firms, such as Guotai Junan and Shanghai Securities, also received warnings for failing to maintain proper compliance and ethical standards [7]. Group 3: Ethical Violations - Numerous employees were found to have crossed compliance boundaries for personal gain, such as promoting non-affiliated financial products for improper benefits [7]. - Instances of improper commission returns to clients were reported, highlighting a systemic issue of ethical breaches within the industry [7].