中国经济网北京12月5日讯 厦门证监局4日发布关于对国投证券股份有限公司厦门民族路证券营业 部采取出具警示函措施的决定。经查，国投证券股份有限公司厦门民族路证券营业部对经纪人合规管理 覆盖不到位，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，厦门证监局决 定对国投证券股份有限公司厦门民族路证券营业部采取出具警示函的监督管理措施，并根据《证券期货 市场诚信监督管理办法》将相关情况记入诚信档案。 国投资本(600061.SH)年报显示，国投证券股份有限公司，是国投资本全资子公司，原名称安信证 券股份有限公司。 国投证券股份有限公司厦门民族路证券营业部： 经查，你营业部对经纪人合规管理覆盖不到位，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，我局决定对你 营业部采取出具警示函的监督管理措施，并根据《证券期货市场诚信监督管理办法》将相关情况记入诚 信档案。 如果对本监督管理措施不服 ...

Core Points - Zhejiang Securities Regulatory Bureau has disclosed corrective measures against Caitong Securities Co., Ltd. for issues in its over-the-counter derivatives business [1][2] - The company failed to maintain a sound management mechanism for underlying assets and did not conduct timely dynamic adjustments [1] - The annual review of investor qualifications was inadequate, and there was ineffective management of system permissions and passwords [1] Regulatory Actions - The Zhejiang Securities Regulatory Bureau decided to impose corrective measures on Caitong Securities based on violations of multiple regulatory guidelines [2] - A warning letter was issued to Pei Gen Cai, a senior management member responsible for the related business, which will be recorded in the securities and futures market integrity archive [2] Company Background - Caitong Securities' 2024 annual report indicates that Pei Gen Cai, born in February 1966, holds a master's degree in economics and has been with the company since June 2010 [2] - Pei Gen Cai has held various positions within the company, including assistant general manager and chairman of Caitong Innovation, and currently serves as assistant general manager [2]

Core Points - The Tibet Securities Regulatory Bureau has issued a warning letter to Hualin Securities due to several compliance issues [1][2] - The identified problems include inadequate execution of personnel recruitment and salary management authorization systems, improper payment of employee severance by Hualin Securities on behalf of Shenzhen Liyue Group, and involvement of Liyue Group staff in company operations [1][2] Summary by Categories - **Compliance Issues** - Hualin Securities failed to properly implement its personnel recruitment and salary management authorization systems [1][2] - The company made severance payments for individual employees on behalf of Shenzhen Liyue Group, which is against regulations [1][2] - Staff from Liyue Group participated in the operational activities of Hualin Securities, violating internal control guidelines [1][2] - **Regulatory Actions** - The Tibet Securities Regulatory Bureau decided to issue a warning letter as a supervisory measure, which will be recorded in the securities and futures market integrity archive [1][2] - Hualin Securities is required to submit a written rectification report within 30 days of receiving the decision [2] - The company has the right to appeal the supervisory measures within 60 days or file a lawsuit within six months [2][3]

Core Viewpoint - The Tibet Securities Regulatory Bureau has issued administrative regulatory measures against Hualin Securities due to multiple compliance issues, including inadequate execution of personnel recruitment and compensation management, improper payment of severance to certain employees of Shenzhen Liyue Group, and involvement of Liyue Group staff in company operations [2] Group 1: Regulatory Issues - Hualin Securities has been found to violate several regulations, including the "Internal Control Guidelines for Securities Companies," "Corporate Governance Standards for Listed Companies," and "Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies" [2] - The Tibet Securities Regulatory Bureau has decided to issue a warning letter to Hualin Securities, which will be recorded in the integrity file of the securities and futures market [2] Group 2: Shareholding Structure - Liyue Group is the largest shareholder of Hualin Securities, holding a 64.46% stake [4] - The actual controller of Liyue Group is Lin Li, who holds a 99.9% share [5] Group 3: Previous Regulatory Actions - Hualin Securities has been previously named in regulatory actions, including a warning from the Shanghai Securities Regulatory Bureau in September for non-compliance in employee conduct, specifically regarding unauthorized client solicitation activities [7]

Core Viewpoint - Sichuan Securities Regulatory Bureau issued a warning letter to Chuan Cai Securities due to deficiencies in internal control mechanisms, personnel management, and compliance review in bond trading operations [1][4]. Group 1: Regulatory Actions - Chuan Cai Securities has been issued warning letters for four consecutive years since 2022, indicating ongoing compliance issues [3]. - Previous warnings included problems with the election of directors and supervisors, insufficient due diligence in bond underwriting, and inadequate internal and risk control measures [3][4]. Group 2: Financial Performance - In 2024, Chuan Cai Securities reported a revenue of 296 million yuan, a decrease of 57 million yuan, representing a decline of 16.18% year-on-year [7]. - The total profit for the year was 15.58 million yuan, down by 10.91 million yuan, marking a decline of 41.19% [7]. - Net profit for 2024 was 15.04 million yuan, a decrease of 9.47 million yuan, reflecting a decline of 38.64% [7]. Group 3: Company Background - Chuan Cai Securities was established in July 1988 and is the first professional securities company transformed from a fiscal treasury intermediary [5]. - Major shareholders include China Huadian Group, Sichuan State-owned Assets Management Company, and Sichuan Hydropower Investment Group [6].