Log in to Sina Finance APP to search [Xinpi] to see more evaluation levels.
May 10thBingopluslivetodayLocal securities regulatory bureaus disclosed a number of regulatory measures letters involving five brokerages, namely Citic Securities, China International Capital Corporation, Guoxin Securities, Dongguan Securities and Hualin Securities.
A reporter from the Daily Economic News noted that on the same day, the Securities Regulatory Commission revised and issued the "on strengthening the Supervision of listed Securities companies"BingopluslivetodayThe rules of ". The CSRC said that in the next step, the CSRC will adhere to the main line of strengthening supervision, preventing risks, and promoting development, continuously strengthen the daily supervision of securities companies, strengthen accountability for law enforcement, and urge listed securities companies to implement a series of new requirements of the regulations. And radiate the good experience and practices in practice to the whole industry to promote the high-quality development of securities industry institutions.
Citic Securities and Dongguan Securities are "planted" in the same project
On May 10, the Guangdong Securities Regulatory Bureau respectively took warning letters against CITIC Securities, Dongguan Securities and four sponsor representatives. the reasons are all violations in the project of Guangdong Quanwei Technology (Rights Protection) Co., Ltd. (former Guangdong National Science and Technology Co., Ltd.).
Guangdong Securities Regulatory Bureau pointed out that Dongguan Securities, as a sponsor for the initial public offering of Guangdong Quanwei Science and Technology Co., Ltd., there are the following violations in the process of continuous supervision: first, the authenticity of large capital transactions of listed companies has not been carefully verified. Second, failed to complete the 2019 on-site inspection report as required. Yao Genfa and Yang Na, as sponsor representatives, bear the main responsibility for the above violations.
In addition, the Guangdong Securities Regulatory Bureau also believes that CITIC Securities, as the continuous supervisory body for the initial public offering of shares of Guangdong Quanwei Technology Co., Ltd., there are the following violations in the process of continuous supervision: first, the relationship between customers and suppliers of xylene trading business is not fully verified. Second, the verification of the authenticity of p-xylene trade business is insufficient. Third, the examination of p-xylene business documents did not pay attention to the obvious difference between the shipping companies corresponding to the transport contract and the cabin measurement report. Fourth, the examination of p-xylene business documents did not pay attention to the obvious abnormality in the port of loading stipulated in the sales contract and charter party. Ling Peng and Pusui Airlines, as sponsor representatives, bear the main responsibility for the above violations.
The reporter learned that in November 2023, the Guangdong Securities Regulatory Bureau imposed a fine of 1.6 million yuan on Guangdong Quanwei Science and Technology Co., Ltd because the company falsely increased its business income by more than 900 million yuan in a year and a half.
A number of senior brokerage executives are required to be responsible.
On the same day, the Beijing Securities Regulatory Bureau issued regulatory measures to order China International Capital Corporation to correct.
It said that China International Capital Corporation had problems in carrying out asset management business, such as liquidity gap caused by operational risks, illegal provision of channel services, failure to specify decision-making basis for reverse trading on the same day, and mutual transactions between product accounts.
At the same time, he believes that Xu Yicheng, as the senior manager in charge of the above-mentioned business, is responsible, while Yu Jian, as the investment manager at that time, is responsible. As a result, the two men were respectively subject to the regulatory measures of the warning letter.
Xizang Securities Regulatory Bureau issued a warning letter to Hualin Securities and related executives. Xizang Securities Regulatory Bureau said that Hualin Securities performance forecast did not take into account the risk signs in the Hongbo convention and exhibition arbitration case and the inaccurate calculation of business and management fees, resulting in the 2023 annual report performance forecast return to the mother's net profit "1.Bingopluslivetoday72 million yuan to 2.BingopluslivetodayThere is a big difference between ".1.8 billion yuan" and the net profit of "25 million yuan to 37 million yuan" in the revised announcement of 2023 performance forecast. Xizang Securities Regulatory Bureau said that Lin Li as the company's chairman and Zhu Song as the company's general manager and financial director bear the main responsibility for the above actions.
In addition, Zhejiang Securities Regulatory Bureau issued a warning letter to Guoxin Securities and two sponsor representatives. Zhejiang Securities Regulatory Bureau said that in daily supervision, it was found that Lilda Technology Group Co., Ltd., recommended by Guoxin Securities, Liu Hongzhi and Zhu Xingchen, was listed on the North Stock Exchange on February 17, 2023. According to Lilda's "2023 Annual report" disclosed on April 26, 2024, Lilda's net profit after deducting non-recurring profits and losses belonging to shareholders of listed companies in 2023 was-18.3171 million yuan, which was a loss in the year of listing. And the listing standard selected by the project includes the net profit standard.
It is worth mentioning that at the beginning of this year, the Securities Regulatory Commission also punished the "face-changing" performance of the three brokerage sponsor projects after listing.
Strengthen the supervision of listed securities companies
The reporter noted that since the beginning of this year, various regulatory agencies have issued more than 100 fines on the securities industry, and the situation of "strict supervision" is prominent.
May 10, in order to implement the "opinions of the State Council on strengthening Supervision, preventing risks and promoting the High-quality Development of the Capital Market" and on strengthening the Supervision of Securities companies and Public funds and speeding up the Construction of first-class Investment Banks and Investment institutions (for trial implementation), strengthen the supervision of listed securities companies and promote the high-quality development of industry institutions The CSRC issued the revised provisions on strengthening the Supervision of listed Securities companies (hereinafter referred to as the "provisions"), and the new rules will come into effect as of the date of promulgation.
The reporter learned that this revision highlights the goal-oriented and problem-oriented, and clearly requires listed securities companies to take a clearer stand of the people, more advanced development concepts, stricter compliance risk control, and more standardized and transparent information disclosure, strive to return to the origin, be better and stronger, and earnestly play the role of "leader" and "vanguard" in leading the high-quality development of the industry.
The promulgation and implementation of the regulations will help supervise and guide the securities industry to comprehensively implement the road of financial development with Chinese characteristics, fully implement the new Nine principles, and comprehensively enhance the level of serving the real economy and investors.
(source: daily Business News)