广发证券股份有限公司： 经查，你公司存在个别证券分析师在微信群传播不实信息的问题，反映出你公司从业人员管理不到位， 违反了《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》（证监会令第195 号，下同）第三十五条的规定。 根据《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》第五十一条第一款的规 定，我局决定对你公司采取责令改正的行政监管措施。你公司应当高度重视上述问题，采取有效措施切 实整改，加强内控管理，切实提高合规管理水平，并于收到本决定书后30日内将整改方案报送我局，我 局将视情况对你公司整改落实情况进行检查。 如果对本监督管理措施不服，可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复 议申请，也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间，上 述监督管理措施不停止执行。 中国经济网北京10月9日讯 广东证监局近日发布关于对广发证券（000776）股份有限公司采取责令改正 措施的决定。 经查，广发证券存在个别证券分析师在微信群传播不实信息的问题，反映出广发证券从业人员管理不到 位，违反了《证券基金经营机构董事、监事、高级 ...

中国经济网北京10月7日讯辽宁证监局网站近日披露了《关于对中泰期货股份有限公司辽宁分公司采取责令改正措施的决定》和《关于对关勇采取出具警示 函措施的决定》。 根据《期货公司监督管理办法》(证监会令第155号)第一百零九条规定，辽宁证监局决定对中泰期货辽宁分公司采取责令改正的监管措施，并记入证券期货 市场诚信档案。中泰期货辽宁分公司应在收到决定书之日起30日内完成整改，并向辽宁证监局提交整改情况报告。 经查，关勇在担任中泰期货辽宁分公司负责人期间，对分公司未有效执行不相容岗位分离规定负有管理责任，对分公司未有效执行绩效考核等规定负有直接 责任。 上述行为违反了《期货公司监督管理办法》(证监会令第155号)第五十六条以及《期货公司董事、监事和高级管理人员任职管理办法》(证监会令第202号)第 二条第三款、第三十三条的规定。根据《期货公司监督管理办法》第一百零九条和《期货公司董事、监事和高级管理人员任职管理办法》(证监会令第202 号)第四十四条第一项的规定，辽宁证监局决定对关勇采取出具警示函的监管措施，并记入证券期货市场诚信档案。关勇应当加强相关法律法规学习，强化 合规管理，审慎勤勉履职，杜绝类似情况再次发生。 ...

深圳证监局关于对英大证券有限责任公司采取责令改正措施的决定 中国经济网北京10月3日讯 深圳证监局日前发布关于对英大证券有限责任公司采取责令改正措施的 决定、关于对石磊采取出具警示函措施的决定。 经查，英大证券有限责任公司存在员工管理不到位、新媒体管理内部控制不完善等问题。上述行为 违反了《证券公司和证券投资基金管理公司合规管理办法》（证监会令第166号）第三条的规定。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款的规定，深圳证监局决 定对英大证券有限责任公司采取责令改正的行政监管措施。英大证券有限责任公司应对相关问题切实整 改，提升合规运作水平，并自收到决定书之日起30日内向深圳证监局提交书面整改报告。 石磊作为分管经纪业务的高级管理人员，对公司上述违规行为负有管理责任。根据《证券公司和证 券投资基金管理公司合规管理办法》第三十二条第一款的规定，深圳证监局决定对石磊采取出具警示函 的行政监管措施。 以下为原文： 如果对本行政监管措施不服，可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行 政复议申请（行政复议申请可以通过邮政快递寄送至中国证券监督管理委员会法治司），也可以在 ...

8月29日，乐山市商业 银行（以下简称"乐山商行"）发布了2025年二季度信息披露报告。年中"成 绩单"显示，该行继2024年成功跻身"2000亿俱乐部"后，今年经营发展继续呈现稳健增长态势，多 项核心指标持续优化提升。 从乐山商行半年"成绩单"显示，截至2025年6月末，该行总资产达到2155亿，牢牢站稳四川城商 行"第一梯队"。该行各项经营指标稳中有进的增长从何而来？主要源于坚持合规管理出效益、依法 维护金融债权、管党治党从严治行、金融为民惠民利民，在主动融入地方经济发展大局中，积极履行 服务实体经济的使命担当，书写出稳健经营与发展创新的高质量发展新图景。 合规管理：重塑内控防线"降本增效" 2025年以来，随着各项业务稳步推进，乐山商行的综合实力、抗风险能力及发展前景得到市场认 可。7月2日，在英国《银行家》杂志发布的"2025年世界银行1000强"榜单中，乐山商行排名第 505位，较2024年上升68位，上升排名全国第2。7月30日，联合资信发布的《乐山市商业银行 2025年跟踪评级报告》，乐山商行主体长期信用等级连续三年AA＋，评级展望为稳定。 评级报告认为，乐山商行治理及内控机制更加完善，风险管理 ...

8月29日，乐山市商业银行（以下简称"乐山商行"）发布了2025年二季度信息披露报告。年中"成绩 单"显示，该行继2024年成功跻身"2000亿俱乐部"后，今年经营发展继续呈现稳健增长态势，多项核心 指标持续优化提升。 从乐山商行半年"成绩单"显示，截至2025年6月末，该行总资产达到2155亿，牢牢站稳四川城商行"第一 梯队"。该行各项经营指标稳中有进的增长从何而来？主要源于坚持合规管理出效益、依法维护金融债 权、管党治党从严治行、金融为民惠民利民，在主动融入地方经济发展大局中，积极履行服务实体经济 的使命担当，书写出稳健经营与发展创新的高质量发展新图景。 2025年以来，随着各项业务稳步推进，乐山商行的综合实力、抗风险能力及发展前景得到市场认可。7 月2日，在英国《银行家》杂志发布的"2025年世界银行1000强"榜单中，乐山商行排名第505位，较2024 合规管理：重塑内控防线"降本增效" 年上升68位，上升排名全国第2。7月30日，联合资信发布的《乐山市商业银行2025年跟踪评级报告》， 乐山商行主体长期信用等级连续三年AA＋，评级展望为稳定。 评级报告认为，乐山商行治理及内控机制更加完善，风险管理水 ...

中国经济网北京9月29日讯 浙江证监局日前发布《关于对财通证券（601108）股份有限公司采取出具警 示函措施的决定》和《关于对钱斌采取出具警示函措施的决定》。 经查，财通证券股份有限公司（简称"财通证券"）存在以下问题：一是未有效建立覆盖境外子公司的决 策事项落实跟踪制度及决策效果评估制度；二是未健全对境外子公司的风险管控机制；三是提名的境外 子公司部分董事不符合相应任职条件。 上述情形违反了《证券公司和证券投资基金管理公司合规管理办法》（证监会令第166号）第三条、 《证券公司和证券投资基金管理公司境外设立、收购、参股经营机构管理办法》（证监会令第179号） 第十四条、第十六条、第十九条第二款、第二十条的规定。根据《证券公司和证券投资基金管理公司合 规管理办法》第三十二条第一款、《证券公司和证券投资基金管理公司境外设立、收购、参股经营机构 管理办法》第三十二条的规定，浙江证监局决定对财通证券采取出具警示函的监督管理措施，并记入证 券期货市场诚信档案。 钱斌作为财通证券总经理助理、财通证券（香港）有限公司时任董事长，对上述情形负有管理责任，根 据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款 ...

Core Viewpoint - The public fund industry in China is entering a critical phase of deepening reform and improving quality and efficiency, with a focus on enhancing investment capabilities, optimizing customer experience, and increasing investor trust [1] Group 1: Compliance Culture and Development - The company recognizes the importance of cultivating a Chinese financial culture, emphasizing the principles of honesty, integrity, prudence, innovation, and legal compliance [2] - A systematic internal compliance training and integrity culture education system has been established, utilizing AI technology to enhance training effectiveness and promote active employee participation [3] Group 2: Compliance System and Regulations - Compliance management is viewed as the cornerstone of long-term development, with the company committed to building a comprehensive and scientific compliance system that covers all branches and operational aspects [4] - The company has developed practical compliance guidelines and an employee compliance manual to support business operations and ensure adherence to regulations [4] Group 3: Technological Empowerment in Compliance - The company is embracing financial technology to enhance compliance management quality and efficiency, including the development of automated review tools for promotional materials [5] - A digital infrastructure for information disclosure has been established to improve data accuracy and reduce operational risks, with plans to further explore AI applications in compliance [6]

Company Overview - China Southwest Architectural Consulting Co., Ltd. (referred to as "China Construction Consulting") is a subsidiary of China State Construction Engineering Corporation, with over 40 years of experience in the construction consulting industry, serving over 700 clients and 5,000 projects with a total investment amount nearing 1 trillion yuan [3] - The company provides comprehensive technical support and management services in various areas including project consulting, investment decision-making, engineering supervision, project management, bidding agency, cost consulting, technical consulting, low-carbon consulting, digital consulting, and sustainable development (ESG) strategy consulting [3] - Headquartered in Chengdu, the company has established regional offices in the Guangdong-Hong Kong-Macao Greater Bay Area, Yangtze River Delta Economic Belt, and Beijing-Tianjin-Hebei Capital Economic Circle, with overseas projects spanning four continents and over 20 countries and regions [3] - The company employs over 1,000 staff, including more than 230 senior and professor-level professionals, and over 700 registered professionals in various fields [3] ESG Integration - China Construction Consulting integrates ESG concepts into its development strategy, establishing an ESG governance system led by the board of directors [4] - The ESG Research Center, a dedicated institution, is directly overseen by the board, with the general manager serving as the center's head [4] - The company has identified "compliance management and risk management" as primary indicators within its ESG framework, further breaking them down into quantifiable sub-indicators through stakeholder dialogue and dual materiality assessments [4] Compliance and Risk Management - The company has developed comprehensive regulations such as the "Compliance Management Regulations" and "Risk Management Regulations" to standardize management practices [4] - A full-process management mechanism for compliance includes compliance review, risk identification and response, issue rectification, reporting, and accountability [5] - The risk management framework encompasses risk identification, monitoring, special assessments, annual major risk evaluations, and overseas risk management [5] Achievements and Certifications - China Construction Consulting has achieved ISO certification across three standards and information security management system certification [5] - In 2024, the company conducted 10 legal compliance inspections and organized 6 specialized training sessions, ensuring comprehensive coverage of key positions and business areas [5] - The company aims for zero major risk incidents in 2024, demonstrating a proactive approach to compliance and risk management [5][6]

Group 1 - The recent personnel adjustments at China Everbright Bank are seen as a significant move to strengthen its risk management system, with the appointment of Miao Fengguang as the new General Manager of the Risk Management Department [1][4] - Miao Fengguang has a history of leadership roles within the bank, including positions in Shanghai and Taiyuan branches, indicating a focus on experienced management [1][3] - Other notable appointments include Zhu Tong as the new head of the Taiyuan branch and Zhu Ying as the Deputy General Manager of the Beijing branch, reflecting a strategy of promoting individuals with extensive frontline management experience [3][4] Group 2 - As of June 30, 2025, China Everbright Bank reported total assets of 7.24 trillion yuan, ranking sixth among national joint-stock commercial banks [4] - The bank's operating income for the first half of the year was 65.918 billion yuan, a year-on-year decrease of 5.57%, while net profit grew only 0.53% to 24.741 billion yuan [4] - The bank faced regulatory penalties totaling 4.3 million yuan due to issues related to information technology outsourcing management and data reporting errors, marking the second compliance-related fine this year [4][5] Group 3 - The bank's management has emphasized the need to lower funding costs and improve operational efficiency, focusing on balancing deposit volume and pricing while enhancing customer acquisition capabilities [5] - There is a strong commitment to compliance and risk management, with a focus on stabilizing asset quality and improving the effectiveness of special asset management [5]

Core Viewpoint - The Shandong Securities Regulatory Bureau has issued warning letters to CITIC Securities (Shandong) Jinan Branch and an employee, Wei Yifan, for violations related to fund sales activities by unqualified personnel and non-compliance with promotional material regulations [1][2][3]. Group 1: Regulatory Actions - CITIC Securities (Shandong) Jinan Branch was found to have unqualified marketing personnel conducting fund sales and failing to use company-approved promotional materials, indicating inadequate compliance management [1][3]. - Wei Yifan, while employed at CITIC Securities Jinan Branch, engaged in fund sales activities before obtaining the necessary qualifications and did not use the company's standardized promotional materials [2][6]. Group 2: Violations and Regulations - The actions of CITIC Securities Jinan Branch violated multiple regulations, including the "Measures for the Supervision and Administration of Securities Investment Fund Sales Institutions" and the "Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies" [1][3]. - Wei Yifan's conduct also breached the same regulations, specifically the provisions regarding the qualifications for fund sales personnel [2][6]. Group 3: Required Actions - The Shandong Securities Regulatory Bureau has mandated that CITIC Securities Jinan Branch strengthen its compliance and internal control management regarding fund sales and submit a written rectification report within 30 days of receiving the decision [3]. - Both CITIC Securities Jinan Branch and Wei Yifan have the right to appeal the regulatory measures within specified timeframes [4][6].