On March 22, Shanghai Securities Regulatory Bureau issued a prior notice to Shenwan Hongyuan Group Co.Ltd(000166) securities ordering to increase the number of compliance inspections, and took regulatory measures against relevant personnel.
According to the Shanghai Securities Regulatory Bureau, upon investigation, it was found that Shenwan Hongyuan Group Co.Ltd(000166) securities and ant wealth (Shanghai) Financial Information Service Co., Ltd. did not independently carry out appropriateness management, fully understand the situation of investors, obtain the address, occupation, financial status, investment experience, integrity records and other information of customers, and the operation of relevant information systems was not under the control of the company, Failure to keep customer information, appropriateness management and relevant service records locally.
In this regard, Shanghai Securities Regulatory Bureau plans to take supervision and management measures against Shenwan Hongyuan Group Co.Ltd(000166) securities to order to increase the number of internal compliance inspections and submit compliance inspection reports. Specifically, Shenwan Hongyuan Group Co.Ltd(000166) securities is ordered to carry out internal compliance inspection every three months within one year from the date of making the decision on supervision and management measures, and submit the compliance inspection report to our bureau within 10 working days after each inspection.
At the same time, Shanghai Securities Regulatory Bureau issued a warning letter to Xie Chen, the then chief information officer of Shenwan Hongyuan Group Co.Ltd(000166) securities, took regulatory talk measures to Zhao Yao, the then project leader, and took regulatory talk measures to Fang Qingli, the then member of the Executive Committee and general manager of the wealth management division.
In response to the above events, Shenwan Hongyuan Group Co.Ltd(000166) securities responded to the reporter of Securities Daily, “This regulatory letter is a routine regulatory measure taken by Shanghai Securities Regulatory Bureau for the company and relevant responsible persons. The letter points out the problems existing in the appropriateness of investors, independence of management and preservation of customer information and data in the process of relevant business cooperation. At present, the company has basically completed the relevant rectification work in accordance with the regulatory requirements. At present, the operation and management of the company is normal and running well. The company will further understand the supervision Manage the policy orientation, comprehensively implement the rectification, constantly improve the internal management, strengthen the management of cooperative projects, adhere to the operation in accordance with the law, adhere to the customer-centered, and better serve the development of the real economy. “
The relevant person in charge of ant wealth told the reporter of Securities Daily, “the matters involved this time are the online personal investment consulting business carried out by Shenwan Hongyuan Group Co.Ltd(000166) securities on ant wealth platform. Ant wealth will fully assist and cooperate with Shenwan Hongyuan Group Co.Ltd(000166) securities in the compliance industry to ensure its full compliance and continuous optimization.”
