该决定书指出，先锋期货存在对互联网营销第三方合作机构尽调不充分，未对互联网营销活动进行有效管控，部分业务部门未落实公司合规风 控要求，部分从业人员在开户环节向客户发送风险测评问卷答案、指导客户修改风险测评问卷答案，APP关于交易策略的部分内容存在夸大、 误导性宣传，未建立健全网络和信息安全相关制度，网络安全防护存在不足等问题。 上述问题反映出公司内部控制存在缺陷，交易者适当性管理不到位，期货交易咨询业务开展不规范，网络和信息安全管理存在不足，违反了 《期货公司监督管理办法》《期货公司期货交易咨询业务办法》《证券期货业网络和信息安全管理办法》的相关规定。 蓝鲸新闻12月12日讯，近日，深圳证监局发布了行政监管措施决定书，剑指先锋期货股份有限公司。 针对以上问题，深圳证监局决定对先锋期货股份有限公司采取监管谈话的监管措施。 | 索 引 号 | bm56000001/2025- 00014441 | 类 સ્ત્ર | | | --- | --- | --- | --- | | 发布机构 | | 发文日期 | 1765505311000 | | 称 ਜ | | 深圳证监局关于对先锋期货股份有限公司采取监管谈话措施的 ...

Core Viewpoint - The article discusses regulatory actions taken against Huajin Futures due to a network security incident that occurred on March 10, 2025, highlighting deficiencies in information security management and emergency response protocols [1][3]. Group 1: Regulatory Actions - Tianjin Securities Regulatory Bureau imposed corrective measures on Huajin Futures for failing to properly manage a network security incident, which lasted for 7 hours and 26 minutes [1][3]. - The bureau found that Huajin Futures did not adequately protect the incident scene and related evidence, preventing the determination of the true cause of the security event [1][3]. - A warning letter was issued to Jian Qing, the assistant president responsible for information technology, emphasizing the need for improved compliance and management of information security [3]. Group 2: Company Background - Huajin Futures was established in 1995 and is one of the earliest state-owned futures companies in China, with its shareholder being Huafa Group [3]. Group 3: Comparison with Other Companies - The article notes a similar incident involving Wind Information Technology Co., which received a warning letter from the Shanghai Securities Regulatory Bureau for a system service anomaly that occurred on January 8, 2024, indicating broader issues within the industry regarding network reliability and management [4].