Compared with more than 40 securities industry fines in January 2022, there will be much less in February. According to the statistics of the reporter of the daily economic news, based on the date of signature, in February 2022, the regulatory authorities issued a total of 16 tickets to the securities industry, involving 11 securities companies. Zhongtian securities and Guosen Securities Co.Ltd(002736) each received 3 tickets, all of which were punished for their inadequate anti money laundering work; The second is Guotai Junan Securities Co.Ltd(601211) , which involves two tickets due to the violation of the branch.
In addition, new era securities, Orient Securities Company Limited(600958) underwriting sponsor and Zhongshan securities were punished for violations of relevant business of investment banking Founder Securities Co.Ltd(601901) , capital securities and Guotai Junan Securities Co.Ltd(601211) are all punished for violating the regulations on securities investment consulting business. Hongxin securities, Zhongtai Securities Co.Ltd(600918) and Everbright Securities Company Limited(601788) also have corresponding fines.
Two securities companies were fined more than one million yuan due to inadequate anti money laundering
In February, there were six tickets pointing to the securities companies’ inadequate anti money laundering work. Zhongtian securities and two responsible persons, Guosen Securities Co.Ltd(002736) and two responsible persons were punished for this.
On February 10, Shenyang Branch of the people’s Bank of China punished Zhongtian securities, which became the first anti money laundering ticket for securities companies since 2022. Shenyang Branch of the people’s Bank of China said that Zhongtian securities failed to perform its customer identification obligations as required and failed to submit suspicious transaction reports as required. Therefore, Zhongtian securities was fined 1.371 million yuan. Xu qiujiong, then general manager of the brokerage business division of Zhongtian securities, and Li Weidong, then general manager of the compliance and legal department of Zhongtian securities, were responsible for the above violations of Zhongtian securities and were also fined.
On the second day, February 11, the Shenzhen Central Branch of the people’s Bank of China punished Guosen Securities Co.Ltd(002736) also. Shenzhen Central Branch of the people’s Bank of China said that Guosen Securities Co.Ltd(002736) failed to perform the obligation of customer identification as required and conducted transactions with unidentified customers, so Guosen Securities Co.Ltd(002736) was fined 1.05 million yuan. Xie Qing, then vice president of Guosen Securities Co.Ltd(002736) brokerage division, and Hu Zhongxiao, then general manager of Guosen Securities Co.Ltd(002736) centralized operation headquarters, were responsible for the above violations of Guosen Securities Co.Ltd(002736) and were also fined respectively.
Three securities companies involved in securities investment advisory business violation tickets
On February 14, Guangdong Securities Regulatory Bureau issued a warning letter to Liang. When Liang was engaged in marketing business in Founder Securities Co.Ltd(601901) Zhanjiang Haibin Avenue Securities Business Department, he did not fully prompt the risk of recommended shares and did not provide sources.
On February 15, Guizhou securities regulatory bureau took regulatory measures to issue a warning letter to the Guiyang Dusi Road Securities Business Department of capital securities. The business department has employed employees who have not obtained the practice qualification of securities investment consulting as investment consulting assistants, and conducted assessment and management in accordance with the relevant measures for the management of the first securities investment consulting business. At the same time, the sales department has the situation that the marketing personnel hand over the employee QR code to others to help open an account.
On February 18, Jiangxi Securities Regulatory Bureau issued a warning letter to Yi and ordered Guotai Junan Securities Co.Ltd(601211) Jiangxi branch to make corrections. The branch has the following problems: first, it did not pay a return visit to some contracted investors of Ganjiang Tongxing investment consulting who met the return visit screening criteria; second, Yi Simin, Ganjiang Tongxing investment consultant, issued misleading statements to investors through wechat and wechat groups in the process of providing securities investment consulting services. The branch’s compliance management on the securities investment consulting services provided by Yi is not in place.
Three securities companies involved in investment banking business violation tickets
On February 7, Jiangsu securities regulatory bureau took regulatory measures to issue warning letters to new era securities. In terms of the entrusted “20 Haitou 01”, “20 Haitou 02” and “20 Haitou 03” corporate bonds, new era securities failed to supervise the use of the raised funds of the issuer and the information disclosure of the issuer.
On February 15, Shenzhen Stock Exchange criticized Zheng and CAI Orient Securities Company Limited(600958) underwriting sponsor signed the financial advisory agreement with Guangdong Guangzhou Daily Media Co.Ltd(002181) to act as the independent financial adviser of Guangdong Guangzhou Daily Media Co.Ltd(002181) acquisition of Champs Elysees project. As the project sponsors, Zheng and Cai failed to perform their obligations of diligence, and the signed financial advisory report contained false records.
On February 24, the national stock transfer company took self regulatory measures to issue warning letters to Zhongshan securities, he and he. As the recommended listing sponsor of Dongguan kaichangde Electronic Technology Co., Ltd., the opinions expressed by Zhongshan securities in the relevant documents publicly disclosed are untrue and inaccurate, and there are cases of failure to be diligent and responsible. He, the head of the project team and he, the legal investigator of the project team, failed to be diligent and responsible, and were responsible for the violations of Zhongshan securities.
