蓝鲸新闻12月5日讯，近日，中国证监会北京监管局发布了行政监管措施决定书，剑指冠通期货股份有限公司及相关责任人。 决定书显示，冠通期货在开展资产管理业务过程中存在多项违规事项。首先，公司在交易对手尽职调查方面存在不到位的情况，未持续关注交 易对手的资信状况。其次，投资经理与交易执行岗的岗位隔离不到位，个别投资经理直接参与债券交易询价工作。此外，公司在债券交易偏离 度监控和债券交易对手识别方面存在不足，反映出公司风险管理和内部控制存在缺陷。 以上行为违反了《证券期货经营机构私募资产管理业务管理办法》的相关规定。 针对以上问题，中国证监会北京监管局决定对冠通期货采取责令改正的监督管理措施，并记入证券期货市场诚信档案。 此外，许晴旺作为分管资产管理业务的副总经理，姚海宾作为资产管理部负责人和相关资管产品投资经理，对公司上述违规行为负有直接责 任，分别被采取监管谈话的监督管理措施，并记入证券期货市场诚信档案。 三、债券交易偏离度监控不到位、债券交易未准确识别交易对手,反映出公司风险管理不到位,内部控制存 在缺陷,违反了《私募资管办法》第五条、第五十九条第二款的规定。 关于对许晴旺采取监管谈话监管措施的决定 日期：20 ...

Core Viewpoint - Huishang Futures has faced regulatory scrutiny for violating rules related to intermediary compensation, raising concerns about its compliance and operational stability [1][2][4]. Regulatory Violations - Huishang Futures was found to have linked service fees to client transaction fees, which contravenes the regulations set forth in the "Intermediary Management Measures" [2][4]. - This marks the second instance in 2025 where the company has been penalized for similar violations, indicating a lack of effective corrective measures [1][4]. Internal Control Issues - The company has a history of internal control problems, with previous regulatory actions dating back to 2018 for similar issues, including inadequate management of intermediaries and compliance systems [5]. - The recent penalties have significantly damaged the company's market reputation and investor trust [4][5]. Financial Performance and Projections - In 2024, Huishang Futures reported revenues exceeding 6.7 billion yuan and a profit of 250 million yuan, with a trading volume of 334 million contracts, reflecting a year-on-year growth of 5.15% [6][8]. - The company has lowered its revenue target for 2025 to 5 billion yuan, a significant reduction from the previous year's performance [8]. Industry Context - The futures industry is currently under stringent regulatory oversight, with increased compliance requirements from regulatory bodies [9]. - Companies that repeatedly violate regulations may face severe penalties, including restrictions on business operations and potential revocation of licenses [9][10].