中国经济网北京8月13日讯证监会网站昨日公布关于对川财证券有限责任公司采取出具警示函措施的决 定。 经查，川财证券有限责任公司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。 上述问题违反了《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)第六条第(四) 项，《证券投资顾问业务暂行规定》(证监会公告〔2020〕66号)第七条、第十二条第(二)项，《中国人 民银行银监会证监会保监会〈关于规范债券市场参与者债券交易的通知〉》(银发〔2017〕302号)第二 条规定。 根据《证券公司和证券投资基金管理公司合规管理办法》(证监会令第166号)第三十二条第一款、《证 券投资顾问业务暂行规定》(证监会公告〔2020〕66号)第三十二条相关规定，四川证监局决定对川财证 券有限责任公司采取出具警示函的行政监督管理措施。 以下为原文： 关于对川财证券有限责任公司采取出具警示函措施的决定 经查，你公司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 ...

Group 1 - The core viewpoint of the article emphasizes the importance of regulatory measures to prevent risks and promote high-quality development in the capital market, as outlined in the new "National Nine Articles" [2] - The article discusses the need for a comprehensive approach to address compliance risks faced by listed companies, focusing on operational compliance, duty compliance, service compliance, and regulatory procedures [2] - The article is part of a series aimed at creating a compliance map for listed companies, specifically addressing operational compliance [2] Group 2 - Supply chain finance is defined as a financial innovation that integrates the flow of funds, goods, and information along the supply chain, aimed at alleviating financing pressure on small and medium-sized enterprises while enhancing overall operational efficiency [3][4] - The development of supply chain finance is currently in a strengthening phase, with significant policy support aimed at achieving comprehensive financial service coverage for key enterprises by the end of 2025 [5] - The article outlines three main models of supply chain finance: seller financing, buyer financing, and their respective sub-models [6][7][9] Group 3 - Supply chain finance presents risks for listed companies, particularly external risks such as legal and credit risks, which can arise from fraudulent activities or the creditworthiness of upstream and downstream enterprises [10][12] - Internal risks include operational and compliance risks, where companies must ensure strict internal controls to avoid becoming complicit in fraudulent activities [14][15] - The article provides examples of past incidents where companies faced significant legal and financial repercussions due to failures in managing supply chain finance risks [11][13] Group 4 - To mitigate risks associated with supply chain finance, listed companies should enhance external risk prevention measures, including credit assessments of involved enterprises and monitoring of logistics and warehousing [16] - Establishing internal risk response mechanisms is crucial, emphasizing the need for a strong compliance culture and adherence to regulatory trends to avoid potential legal issues [18]