中国经济网北京11月10日讯 浙江证监局网站近日披露了关于《对财通证券（601108）股份有限公司采 取责令改正措施的决定》和《关于对裴根财采取出具警示函措施的决定》。 经查，财通证券股份有限公司（以下简称"财通证券"，601108.SH）场外衍生品业务存在以下问题：标 的管理机制不健全，未对挂钩标的实施及时动态调整；投资者资质年度复核工作不到位；未对业务管理 系统权限、密码实施有效管理。经查，裴根财作为财通证券高级管理人员，分管相关业务，对公司上述 违规行为负有管理责任。 上述情形不符合《证券公司场外期权业务管理办法》（中证协发〔2020〕104号）第十八条、第三十二 条、第四十六条，《证券公司收益互换业务管理办法》（中证协发〔2021〕276号）第十九条第一款、 第十六条，《证券公司内部控制指引》（证监机构字〔2003〕260号）第七条第一项、第一百一十六条 的规定，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、第 六条第一项，《证券基金经营机构信息技术管理办法》（证监会令第179号）第三十二条第一款、第二 款的规定。 根据《证券公司和证券投资基金管理公司合规管理办法》 ...

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]

8月12日，中国证券监督管理委员会网站披露，四川证监局对川财证券采取出具警示函的措施。 四川证监局表示，经查，川财证券债券交易业务存在公司内部制度建设与内控机制有待完善，从业人员管理与信息披露不到位，业务合规审查落实不到 位，交易行为管理有待完善等问题。 | Elli SHI SHI ne manager see and start of the series and and sere the series and and and of the series and the seri | CHINA SECURITIES REGULATORY COMMISSION | 四川监管局 | | | 请输入关键字 | | | --- | --- | --- | --- | --- | --- | --- | | 首页 | 证监局介绍 辖区监管动态 | 政务信息 | 办事服务 | 辖区数据 | 互动交流 | 专题专栏 | | ♀ 当前位置：首页 > 政务信息 > 主动公开目录 > 证监局文种体裁 > 行政监管措施 | | | | | | | | 索 | bm56000001/2025-00009623 | | | ਜੋ ...