Securities analysts were fined for making inappropriate remarks: Kechuanban was full of sickles and leek

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 Securities analysts were fined for making inappropriate remarks: Kechuanban was full of sickles and leek


According to the circular documents issued by Guoxin Securities Economic Research Institute, Guoxin Securities Research Institute found that Cheng Cheng, the head of the communication group, made improper remarks through the Weixin Group, violating Article 3 of the Interim Measures for the Use and Management of Network Social Media of the Economic Research Institute. The relevant regulations.

Cheng Cheng made improper remarks in his group-headed micro-communication group Cheng Cheng Active Transfer Sharing Group around 11 a.m. on July 10, which violated the spirit of the higher authorities and the relevant regulations of the company and the Institute on network social media, and caused serious negative effects on the institute. Ring.

After discovering the relevant improper remarks, the Institute immediately asked the parties concerned for questioning and made serious criticism of the parties, and ordered them to reflect seriously. For serious discipline, after research, it was decided to give Cheng Chengquan, the head of the communication team, a report of criticism and an accountability treatment of withholding a quarterly performance bonus.

In this document, there is no mention of what Cheng Chengs inappropriate remarks are. Chat records circulated on the Internet show that Cheng Cheng issued his opinions on GEM at that time. He suggested that GEM cant beat new ones without beating New ones, and called GEM full of sickles, without leeks and ownership big man. The world, ordinary people do not play.

According to public data, Cheng Cheng is currently the chief analyst of Guoxin Securities and Communications Industry, aged only 32.

From 2013 to 2016, Cheng Cheng was the best analyst in New Wealth for four consecutive years, ranked fourth in 2013 and second in 2014-2015.

Securities analysts often become the focus of market attention because of their high appearance rate. In recent years, the supervision of the securities business employeesspeech management has shown a growing trend.

In September 2018, when the regulatory authorities notified the regulatory situation of the institutions, they made four requests for the securities business practitioners to publicly express their opinions. One is to standardize the behavior of publicly expressing their opinions and strengthen the professional responsibility. Require legal compliance of information sources, professional prudence of research methods, and validation of analytical conclusions. Do not use vulgar, exaggerated, inducing, inflammatory headlines or terms. Do not blindly follow the trend of hype, blindly pursue market hot spots, etc. The second is to strengthen staff management and internal control of the company. The circular requires securities firms to incorporate the management of employeespublic statements into the companys compliance and comprehensive risk management system. Thirdly, to implement the compliance requirements of research reports and effectively improve the quality of research reports. Fourth, we should strengthen media cooperation management and improve public opinion monitoring and response mechanisms. In this context, securities firms have also strengthened the control of staffs speech through the compliance department. An insider of a large securities firm told Pengchao News that the analyst of his research institute had published a relatively negative message on the circle of friends, which attracted the attention of the local securities regulatory bureau within half a day, and was finally deleted at the request of the companys compliance department. It can be expected that in the future, the staff of securities companies will be more cautious and avoid making mistakes. Source: Peng Mei News Author: Liu Yunyus Responsible Editor: Su Hongyong_NBJ9980

In September 2018, when the regulatory authorities notified the regulatory situation of the institutions, they made four requests for the securities business practitioners to publicly express their opinions. One is to standardize the behavior of publicly expressing their opinions and strengthen the professional responsibility. Require legal compliance of information sources, professional prudence of research methods, and validation of analytical conclusions. Do not use vulgar, exaggerated, inducing, inflammatory headlines or terms. Do not blindly follow the trend of hype, blindly pursue market hot spots, etc. The second is to strengthen staff management and internal control of the company. The circular requires securities firms to incorporate the management of employeespublic statements into the companys compliance and comprehensive risk management system. Thirdly, to implement the compliance requirements of research reports and effectively improve the quality of research reports. Fourth, we should strengthen media cooperation management and improve public opinion monitoring and response mechanisms.

In this context, securities firms have also strengthened the control of staffs speech through the compliance department. An insider of a large securities firm told Pengchao News that the analyst of his research institute had published a relatively negative message on the circle of friends, which attracted the attention of the local securities regulatory bureau within half a day, and was finally deleted at the request of the companys compliance department. It can be expected that in the future, the staff of securities companies will be more cautious and avoid making mistakes.