Haitong Securities Company Limited(600837) was criticized by the national share transfer company, and the three responsible persons were publicly condemned

The national share transfer company recently issued a public notice on the disciplinary punishment given to Haitong Securities Company Limited(600837) and relevant responsible subjects. According to the announcement, Haitong Securities Company Limited(600837) failed to establish, improve and effectively implement the continuous supervision system in accordance with the guidelines for the continuous supervision of securities companies sponsored by the National SME share transfer system and relevant business rules, and lacked an effective internal control mechanism. Relevant responsible persons failed to be honest, trustworthy and diligent in the process of continuous supervision. According to the publicity of disciplinary action, Haitong Securities Company Limited(600837) was criticized in a notice, and three relevant responsible persons such as Haitong Securities Company Limited(600837) Ni Yu, Zhang Ruihua and Chen Ruoqi were publicly condemned. It is disclosed that the business documents issued by Chen Ruoqi will not be accepted for 36 months, and a letter of supervision suggestion will be issued to relevant departments.