证监会表示，公司治理是上市公司高质量发展的根基，合规风控是证券公司稳健发展的生命线。从天风 证券违法违规案例看，一方面，大股东滥用股东权利、违法利用证券公司融资、侵蚀证券公司利益，另 一方面，证券公司突破合规底线、配合股东违法违规，性质恶劣，必须依法从严惩处。下一步，证监会 将继续坚持"追首恶"与"打帮凶"并举，严厉打击此类违法违规行为。同时，督促证券行业以案为鉴，深 刻汲取教训，全面加强公司治理和合规风控管理，持续推进行业文化建设，切实做到"不逾越底线、不 唯利是图、不急功近利、不脱实向虚、不胡作非为"，坚持诚实守信、以义取利、稳健审慎、守正创 新、依法合规。 天风证券回应 据天风证券官方微信号，2月13日，天风证券召开党委专题会，第一时间通报收到行政处罚事先告知 书、监管措施事先告知书以及立案通知等行政执法文书的相关情况。会议要求以此次对历史问题的处理 为契机，围绕"四步同进""四战同打"战略部署，全面推进新阶段工作，加快锻造公司治理新、布局结构 新、经营机制新、精神状态新、经营业绩新、社会形象新的"六新天风"，加快打造管理规范、业绩优 良、服务辐射能力强的新型券商。 近日，证监会对天风证券（601162 ...

Core Viewpoint - Guangfa Securities announced a plan to issue 219 million new H-shares at a price of HKD 18.15 per share, following resolutions from its 2025 second extraordinary general meeting and the twelfth meeting of the eleventh board of directors [3] Group 1: Share Issuance Details - The company completed the H-share placement on January 14, resulting in an increase in its registered capital from RMB 76.06 billion to RMB 78.25 billion [3] - The registered capital was increased by RMB 219 million due to the issuance of new shares [3] - The company has completed the necessary registration changes with the Guangdong Provincial Market Supervision Administration and received a new business license [3] Group 2: Corporate Governance - The articles of association of the company have been revised to reflect the changes in registered capital [3]

2026.02.13 本文字数：1198，阅读时长大约2分钟 同时，当代集团实际控制人艾路明，天风证券时任董事长余磊、时任副总裁兼财务总监许欣被采取终身证券市场禁入措施。 同日，天风证券披露，湖北证监局拟暂停该公司代销私募金融产品业务2年。 上述处罚落地之际，天风证券再被立案。据公告，该公司涉嫌福建省永安林业(集团)股份有限公司持股变动信息披露违法违规。 从前次立案情况看，去年11月底，天风证券突遭立案，事发涉嫌信息披露违法违规、违法提供融资。根据第一财经此前报道，接近天风证券 的人士透露，公司被监管立案，或与2022年年度报告中披露的原大股东当代集团资金占用事项有所关联。 另据第一财经了解，被立案后，天风证券制定整改方案，追回违规占用资金。"从2023年起，公司已不再受此类历史问题牵制，经营重心全面 转向合规建设与业务发展。"有接近天风证券的人士对记者表示。 随着处罚落定，更多违规细节也浮出水面。监管经调查认定，2020年至2022年期间，天风证券违法为当代集团提供融资、未按规定披露与当 代集团关联交易，当代集团与天风证券共同实施相关违法行为，严重违反证券法律法规。 记者关注到，天风证券曾在2022年年报中 ...

2026.02. 13 本文字数：1198，阅读时长大约2分钟 作者 | 第一财经 周楠 被立案调查两个多月后，天风证券收到罚单。 证监会2月13日晚间披露，针对天风证券为武汉当代科技产业集团股份有限公司（下称"当代集 团"）涉嫌违法提供融资及信息披露违法违规的行为，湖北证监局拟对天风证券和当代集团合计处以 2500万元的顶格罚款，9名相关责任人被罚款合计3480万元。 同时，当代集团实际控制人艾路明，天风证券时任董事长余磊、时任副总裁兼财务总监许欣被采取终 身证券市场禁入措施。 同日，天风证券披露，湖北证监局拟暂停该公司代销私募金融产品业务2年。 上述处罚落地之际，天风证券再被立案。据公告，该公司涉嫌福建省永安林业(集团)股份有限公司持 股变动信息披露违法违规。 从前次立案情况看，去年11月底，天风证券突遭立案，事发涉嫌信息披露违法违规、违法提供融 资。根据第一财经此前报道，接近天风证券的人士透露，公司被监管立案，或与2022年年度报告中 披露的原大股东当代集团资金占用事项有所关联。 另据第一财经了解，被立案后，天风证券制定整改方案，追回违规占用资金。"从2023年起，公司 已不再受此类历史问题牵制，经营重 ...

智通财经APP讯，天风证券(601162.SH)发布公告，公司于近期收到中国证监会下发的《立案告知书》 (编号：证监立案字【0262026001】号)。因公司涉嫌福建省永安林业(集团)股份有限公司持股变动信息 披露违法违规，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，决定对公 司立案。 ...

证监会2月13日晚间披露，针对天风证券为武汉当代科技产业集团股份有限公司（下称"当代集团"）涉 嫌违法提供融资及信息披露违法违规的行为，湖北证监局拟对天风证券和当代集团合计处以2500万元的 顶格罚款，9名相关责任人被罚款合计3480万元。 登录新浪财经APP 搜索【信披】查看更多考评等级 【#天风证券被顶格处罚2500万#、#天风证券罚单刚出再被立案#】被立案调查两个多月后，天风证券收 罚单。 上述处罚落地之际，天风证券再被立案。据公告，该公司涉嫌福建省永安林业(集团)股份有限公司持股 变动信息披露违法违规。 同时，当代集团实际控制人艾路明，天风证券时任董事长余磊、时任副总裁兼财务总监许欣被采取终身 证券市场禁入措施。 同日，天风证券披露，湖北证监局拟暂停该公司代销私募金融产品业务2年。 ...

Core Viewpoint - Western Securities has received approval from the China Securities Regulatory Commission (CSRC) for its market-making business qualifications for listed securities, specifically for trading on the Beijing Stock Exchange [1] Group 1 - The approval is documented in the CSRC's official notice, indicating the regulatory endorsement of the company's market-making capabilities [1] - The qualification is limited to market-making for stocks listed on the Beijing Stock Exchange, suggesting a focused strategy in this specific market [1]

Core Viewpoint - The announcement from Shouchao Securities regarding the appointment of new executives reflects the company's ongoing efforts to strengthen its leadership team and enhance operational efficiency [1] Group 1: Executive Appointments - Shouchao Securities' board approved the appointment of He Feng as the Executive Vice President and Cheng Jialin as the Vice President, effective immediately [1] - He Feng currently serves as a member of the Party Committee, Executive Vice President, and Board Secretary at Shouchao Securities, with a background in various roles including project assistant at China New Technology Venture Capital Company [1] - Cheng Jialin is also a member of the Party Committee and serves as a Director and Vice President at Shouchao Securities, previously holding positions at Beijing Capital Group and Shouchao Environmental Holdings [1]

Core Viewpoint - The China Securities Regulatory Commission (CSRC) issued warning letters to three bond underwriting firms, namely Caitong Securities, Pacific Securities, and Zhongtian Guofu Securities, due to violations in their bond business operations [1]. Group 1: Violations Identified - Pacific Securities was found to have three main violations: inadequate internal control over bonds, insufficient attention to matters affecting the issuer's debt repayment ability during entrusted management, and inadequate verification of asset securitization project asset transfers [2]. - Zhongtian Guofu Securities also faced three violations: poor internal control over bonds, non-compliance in the issuance and underwriting process, and inadequate performance in entrusted management [3]. - Caitong Securities' violations were primarily related to the execution of internal control mechanisms and due diligence in underwriting, with insufficient verification of significant financial information affecting the issuer's debt repayment ability [3].

Core Viewpoint - Tianfeng Securities Co., Ltd. has received administrative penalty notices from the China Securities Regulatory Commission (CSRC) due to violations during the period of private ownership, and the company is committed to improving governance and compliance following these events [1]. Group 1: Regulatory Actions - The company has received the CSRC's "Advance Notice of Administrative Penalty," "Advance Notice of Administrative Supervision Measures," and "Case Notification" [1]. - The violations are primarily related to actions taken during the period of private ownership [1]. Group 2: Governance and Compliance Improvements - Following the transition to state-controlled ownership, the company has strengthened party leadership, optimized governance structures, and established a "three major and one large" decision-making mechanism [1]. - Tianfeng Securities is enhancing internal controls and risk management systems, and is committed to compliance and risk management assessments [1]. Group 3: Financial Performance - The company expects to achieve a net profit attributable to shareholders of the parent company between RMB 125 million and RMB 185 million for the fiscal year 2025, indicating a turnaround from previous losses due to increased investment income compared to the same period last year [1].