According to the statistics of the reporter of the daily economic news, based on the signing date, in January 2022, the regulatory authorities issued a total of 40 tickets to the securities industry, involving 17 securities companies. Among them, 10 were related to Zheshang asset management, 8 to Anxin securities and 5 to Ping An Securities. In addition, two copies of Haitong Securities Company Limited(600837) , Everbright Securities Company Limited(601788) , Cinda securities and YueKai securities are involved. In terms of business types, there are 14 investment banking and brokerage businesses and 10 asset management businesses.
The number of fines of three securities companies ranks first
Based on the signing date, in January this year, Zhejiang Securities Regulatory Bureau issued fines for 10 people of Zhejiang Commercial Asset Management, which led to the number of fines involving Zhejiang Commercial Asset Management ranking first. The reporter of zhejiangshang understands that the investors who adopt the same technology have the following characteristics:; The valuation of default assets held by products is unreasonable; Lack of investment management; The investor suitability management system is not perfect; Insufficient staffing of compliance personnel.
Therefore, after punishing Zheshang asset management at the end of last year, Zhejiang Securities Regulatory Bureau punished 10 relevant responsible personnel of Zheshang asset management in January.
Similar to Zheshang asset management, Anxin securities has also been punished for violation of relevant matters. According to the reporter’s statistics, there were 8 penalties involving Anxin securities in January, and the number of fines ranked second. The reporter learned that Anxin securities failed to exercise due diligence in carrying out the major asset purchase project of Zhejiang Yatai Pharmaceutical Co.Ltd(002370) 2015 and the public issuance of convertible corporate bonds in 2019, failed to fully verify and verify the authenticity and accuracy of Zhejiang Yatai Pharmaceutical Co.Ltd(002370) information disclosure documents, inadequate due diligence, failed to perform continuous supervision obligations as required, and imperfect internal quality control.
Therefore, in January this year, while Anxin securities was required to make corrections, seven relevant responsible persons were also punished.
In addition, in January this year, there were five tickets involving Ping An Securities, ranking third in the punishment list. Chongqing Securities Regulatory Bureau said that Ping An Securities Chongqing branch had the following problems: first, in the process of selling pioneer futures Xinyue No. 6 phase 1 collective asset management plan (the product was established in May 2019 and terminated in May 2021), it failed to be diligent and responsible and did not fully understand the situation of investors; Second, major events have not been reported to our bureau; The third is to attract customers to open accounts by giving gifts.
Therefore, after Ping An Securities Chongqing Branch was punished, four relevant responsible personnel were also punished.
14 tickets related to investment banking
The continuous strengthening of the “gatekeeper” responsibility of intermediaries is first reflected in the investment banking business. In the punishment in January, a total of 14 tickets involved in the investment banking business. As seen above, the violation of the investment banking business of Anxin securities involved 8 tickets.
In addition, the share transfer company criticized and publicly condemned Haitong Securities Company Limited(600837) and three people. According to the stock transfer company, 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.
The CSRC issued a warning letter to Guotai Junan Securities Co.Ltd(601211) and two people. According to the CSRC, Guotai Junan Securities Co.Ltd(601211) in the process of initial public offering and listing of shares by sponsor Litong Technology Co., Ltd. (hereinafter referred to as the issuer), did not diligently and responsibly perform sufficient verification procedures and jointly disclose relevant information on the relationship between the issuer’s main customer global Jiamei and the customer legal profit, and the disclosure of the amount of products involved in the litigation patent was inconsistent and different, There is a situation that the relevant flow inspection of the issuer relies on the information provided by the issuer.
The CSRC also issued a six-month penalty for the two people of Wanlian securities not to accept the documents related to administrative license. In the process of acting as the sponsor representative of Jiangxi Hulk ecological environment Co., Ltd. for the initial public offering and listing, the two persons failed to be diligent and responsible, and the verification of the issuer’s monetary funds, related parties and related transactions was insufficient. They failed to find that the issuer changed a large number of bank flow, and the disclosure of related parties and related transactions was incomplete There are defects in accounting basis and internal control.
Sino German securities was put on file for investigation on suspicion of violation of laws and regulations in the recommendation business of LETV’s non-public offering of shares in 2016. As the trustee of “17 Lusheng 01”, “18 Lusheng 01” and “18 Lusheng 02” non-public corporate bond projects of Shengtong group, YueKai securities failed to maintain professional prudence in the process of entrusted management. YueKai securities and the three were punished by the warning letter.
