Group 1 - The Inner Mongolia Securities Regulatory Bureau issued a warning letter to Han Junqin for violating regulations by holding a part-time position in a profit-making institution outside of the companies controlled or held by Datong Securities [4] - The actions of Han Junqin were found to be in violation of the "Regulations on the Qualifications of Directors, Supervisors, and Senior Management Personnel of Securities Companies" and the "Supervision and Management Measures for Directors, Supervisors, Senior Management Personnel, and Practitioners of Securities and Fund Management Institutions" [4] - Han Junqin is required to submit a written report to the Inner Mongolia Securities Regulatory Bureau within 30 days of receiving the decision [4] Group 2 - Datong Securities, established in 1988, is one of the earliest securities companies in China, offering a comprehensive range of services including securities brokerage, investment consulting, financial advisory, fund distribution, margin trading, and asset management [5] - The company operates 46 business institutions and 3 holding subsidiaries, with a presence in 17 provinces and municipalities across China [5] - Datong Securities supports the development of the real economy through its full-license comprehensive operations [5]

南都·湾财社记者注意到，2024年9月，申万宏源投行原副总经理王昭凭被监察机关依法留置，此后申万 宏源投行业务违规事项接连浮出水面。据同花顺iFinD数据，以披露日期计算，申万宏源证券（含投行 子公司，下同）因投行业务违规近半年已收7张罚单。天眼查信息显示，2024年来以来，申万宏源证券 陷入多起证券虚假陈诉责任纠纷。 2024年2月，申万宏源投行原董事长张剑升任申万宏源证券总经理，张剑在去年曾公开表示，要严惩中 介机构不作为、假作为、乱作为，提升资本市场各参与方信心。值得一提的是，张剑曾因在中信证券任 并购重组业务线负责人期间的违规行为受到中国证监会处罚。 申万宏源因投行业务违规再受罚。4月18日，深交所公告表示，决定对海诺尔环保产业股份有限公司(下 称"海诺尔")创业板IPO项目保荐人申万宏源证券承销保荐有限责任公司（下称"申万宏源投行"）、保荐 代表人秦明正及王鹏采取约见谈话自律监管措施。 半年收7张罚单 投行副总被监察机关依法留置 申万宏源投行监管整治之风继续吹。4月18日，深交所公告表示，决定对海诺尔创业板IPO项目保荐人 申万宏源投行、保荐代表人秦明正及王鹏采取约见谈话自律监管措施。 公告内容显示 ...