11 月 28 日晚间，天风证券发布公告称，因涉嫌信息披露违法违规、违法提供融资，根据 《中华人民共和国证券法》《中华人民共和国行政处罚法》等法律法规，证监会决定对公司 立案。 【导读】天风证券被立案，或涉原股东历史问题 中国基金报记者 晨曦 又有上市券商被立案！ 天风证券表示，目前，公司各项生产经营活动正常有序开展。在立案调查期间，公司将积极 配合证监会的相关调查工作，并严格按照有关法律法规及监管要求履行信息披露义务。 据了解，天风证券此次被监管立案，或与此前原大股东当代集团资金占用事项相关。据天风 证券 2022 年年度报告披露，公司原直接和间接持股合计 5% 以上股份的股东武汉当代科技 业绩方面， 2025 年前三季度，天风证券实现营业收入 21.12 亿元，同比增长 57.53% ； 实现归母净利润 1.53 亿元，同比增长 128.55% 。 截至 11 月 28 日收盘，天风证券股价为 4.83 元 / 股，总市值约为 487 亿元。 | 最高: 4.84 | 今开:4.81 | 涨停:5.29 | 成交量: 98.43万手 | | --- | --- | --- | --- | | 最低：4.7 ...

Group 1 - The core viewpoint of the article indicates that Tianfeng Securities is currently operating normally and is cooperating with the China Securities Regulatory Commission (CSRC) during the investigation related to the previous major shareholder's fund occupation issue [3] - The investigation is linked to the fund occupation matter disclosed in Tianfeng Securities' 2022 annual report, where the funds and interest were fully repaid by the end of 2022 [3] - The report highlights that the original major shareholder, Wuhan Contemporary Technology Industry Group Co., Ltd., occupied funds through third parties, and the market had anticipated the investigation as a matter of time [3] Group 2 - The regulatory investigation, while causing short-term reputational impact, is expected to clarify responsibilities and reduce uncertainties, allowing Tianfeng Securities to move forward without historical burdens [4] - The investigation signifies a complete separation from the historical issues associated with the former major shareholder, Contemporary Group [4] - For the first three quarters of 2025, Tianfeng Securities reported a total revenue increase of 57.53% to 2.112 billion yuan, with a net profit increase of 128.55% to 153 million yuan [4] - Breakdown of revenue shows that brokerage business net income rose from 518 million yuan to 772 million yuan, investment banking net income increased from 494 million yuan to 587 million yuan, and self-operated business net income slightly increased to 1.267 billion yuan, while credit business net loss narrowed to -95.4 million yuan from -133.4 million yuan [4]

Group 1 - Tianfeng Securities received a notice from the China Securities Regulatory Commission (CSRC) regarding an investigation for suspected violations of information disclosure and illegal financing [1] - The company stated that its operations are currently normal and it will cooperate with the CSRC during the investigation while adhering to legal and regulatory disclosure obligations [1] - Tianfeng Securities was established in 2000 and is the only provincial state-owned securities company in Hubei, listed on the Shanghai Stock Exchange in October 2018 [4] Group 2 - As of the first three quarters of 2025, Tianfeng Securities reported revenue of 2.112 billion yuan, a year-on-year increase of 57.53%, and a net profit of 153 million yuan, marking a return to profitability [4] - The total assets of Tianfeng Securities reached 92.496 billion yuan, with total liabilities of 64.571 billion yuan as of the end of the third quarter of 2025 [4] - The company has faced multiple regulatory penalties this year for compliance issues, including warnings from the Shanghai Securities Regulatory Bureau for its asset management subsidiary [4][5] Group 3 - As of November 28, 2023, Tianfeng Securities' stock price was 4.83 yuan per share, with a market capitalization of 48.7 billion yuan [6]

天风证券被证监会立案。 11月28日晚间，天风证券公告，11月28日收到证监会下发的《立案告知书》，因涉嫌信息披露违法违规、违法 提供融资，根据《证券法》《行政处罚法》等法律法规，证监会决定对天风证券立案。 市场分析人士认为，监管立案或与2022年年度报告中披露的原民营大股东资金占用事项有所关联，2022年底该 占用资金及利息全部归还。监管立案，或意味着天风证券与多年的历史包袱进行切割。 11月28日，天风证券报收4.83元/股，涨0.42%，今年以来涨幅7.81%，总市值486.6亿元。 被证监会立案 11月28日，天风证券收到证监会《立案告知书》（编号：证监立案字【0052025018】号）。因涉嫌信息披露违 法违规、违法提供融资，根据《中华人民共和国证券法》《中华人民共和国行政处罚法》等法律法规，证监会 决定对该公司立案。 与"当代系"历史问题切割 不过，在上述公告中，证监会并未提及何年何月何种案件。回溯过往，天风证券曾在2022年年报等定期报告 中，提及被股东当代系资金占用情况。 天风证券曾是湖北省最大民营资本"当代系"旗下重要的金融资产，2023年由湖北省国资委控股的湖北宏泰集团 成为控股股东。 早 ...