Food and beverage new year is not peaceful! Analysts such as Soochow touch the red line of compliance

category:Finance
 Food and beverage new year is not peaceful! Analysts such as Soochow touch the red line of compliance


A researcher of Soochow securities held a conference call on the evening of January 1 to invite the general manager of a major dealer of toyoon Bijian (300146. SZ) to share, the insiders told 21st century economic news.

But the recording of the conference call was sent to Mr. Tomson. At present, Mr. Tomson asked the general manager of the relevant dealer to leave and take legal action.

Dongwu securities covers the team of Yang Moxi from the food and beverage group. According to people involved in the conference call, there are not too many problems with the conference call content itself, but the compliance aspect may not be allowed.

Mr. Tomsons reaction may be due to the fact that it has recently been on the cusp of the capital market because of its large amount of provision. The industry said.

After yesterdays conference call, todays Mr. Thompson is hitting the trading board instead.

On the same day yesterday, the industry news said that a chief researcher of Oriental Securities sent the data of Yili shares (600887. SH) to the buyers customers, and was given the IR (investor relationship) of Yili shares by the fund manager of BOCOM Schroder. Then Yili shares reported the case, and the relevant chief was recorded.

Dongfang securities covers Yili shares with ye Shuhuai, a member of the food and beverage group. Some insiders said: the fund manager of BOCOM Schroeder may not be interested in the IR leakage of Yili shares, but take the relevant data to check with Yili shares, resulting in the occurrence of the incident.

At the beginning of the new year, securities practitioners touch the red line of compliance. In fact, with the increasingly strict supervision, local securities regulatory bureaus and securities companies increasingly emphasize compliance, and relevant crackdowns and regulatory warnings are also increasing. The 21st century economic reporter combed the top ten typical cases of violation of securities industry in 2019 to serve as a warning.

1u3001 Brokerage business

Warned unit: securities business department, Jinyang Road, Chengdu, Huatai Securities

Time: February 19, 2019

Specific contents: 1) during the period when the former employee of the business department was the customer manager, he was suspected of privately accepting the customers entrustment to buy and sell securities, but the business department failed to track and investigate; 2) the business department failed to follow up and check the early warning information of the risk monitoring module of the marketing personnel of the enterprise risk management platform; 3) the business department failed to check and handle the illegal clues found in the customers return visit.

Alerted unit: Shanghai global financial center business department of CITIC Securities

Regulatory authority: Shanghai Securities Regulatory Bureau

Time: April 2, 2019

Specific content: some employees of the business department sell the financial products that are not independently issued or sold by CITIC Securities without authorization, which violates the relevant provisions of the regulations on the management of financial products sold by securities companies on a commission basis.

Alerted unit: Jinyuan securities Fuzhou Shuguang Road Business Department

Regulatory authority: Fujian Securities Regulatory Bureau

Time: May 13, 2019

Specific content: during the period when the person in charge of the business department is in office, there is no financing intermediary or other convenience between customers, absent without permission, and failure to perform duties diligently. The CSRC requires Jinyuan securities to remove the relevant person in charge, and the person in charge shall not serve as the director, supervisor and head of branch office of the securities company within 2 years.

2u3001 Investment banking

Warned unit: new era securities

Regulatory authority: CSRC

Time: June 3, 2019

Details:

The CSRC ordered the new era securities to rectify, gave a warning, confiscated 8 million yuan of business income of independent financial consultants, and fined 24 million yuan; confiscated 12.201 million yuan of illegal income from underwriting shares, and fined 500000 yuan; the project companys personnel were fined 80000 yuan.

3u3001 Bond trading business

Warned unit: Guorong securities

Regulatory authority: CSRC

Specific content: after the issuance and implementation of the notice of the people Unprocessed and some risk control data are inconsistent with the data of bond trading system. The CSRC believes that there are major defects in the internal holding of Guorong securities company and its operation and management are in disorder.

4u3001 Asset securitization business

Alerted unit: Huatai United Securities

Regulatory authority: Jiangsu Securities Regulatory Bureau

Time: August 7, 2019

5u3001 Asset management business

Regulatory authority: Sichuan Securities Regulatory Bureau

Time: September 16, 2019

Specific content: 1) the operation of asset management business is not standardized. Failed to obtain the identity, property, income, risk tolerance and other information of individual investors in asset management products; the transfer of 16 state bond purchase between asset management products and proprietary business products of the company belongs to connected transaction, which is not disclosed to the client; multiple simultaneous transactions of different asset management products of the company have not been reported to CSRC; 2) the company investigated the default risk of 16 state bond purchase of investment management products Insurance is carried out with its own funds through a single fund trust plan, but the product accounts for 40% of the scale of trust plan issuance, exceeding the regulatory requirements of 20%.

6u3001 Credit business

Alerted unit: China Post securities

Regulatory authority: Shaanxi Securities Regulatory Bureau

Time: August 23, 2019

Specific contents: 1) the estimation of specific pledge rate of each project is arbitrary and the system is imperfect; the financing purpose of customers is not tracked and understood; 2) the companys compliance and risk control departments are not involved in the determination of trading bond pool and counterparty pool and the prior approval of creditors rights transaction; the asset management business is not fully adjusted, and some financing plans do not analyze the cash flow and debt paying ability of the financiers.

7u3001 Subsidiary management

Regulatory authority: Guangdong Securities Regulatory Bureau

Time: March 12, 2019

Specific content: Wanlian Tianze Capital Investment Co., Ltd., a subsidiary of the companys private investment fund, actually carries out business before completing the rectification and publicity of the organizational structure specification; after the CSRC stressed the requirements of relevant specifications in September 2017, there are still 5 illegal products with the first payment of investors.

8u3001 Employee management

Alerted unit: Founder Securities

Regulatory authority: CSRC

Time: June 4, 2019

Specific content: Liu Wencong, a professional, holds and trades stocks in the name of others. It will be fined 100000 yuan.

9u3001 Compliance management

Alerted unit: Bank of China International Securities

Regulatory authority: Shanghai Securities Regulatory Bureau

Time: April 10, 2019

Specific content: the companys compliance department, individual business departments and some branches do not meet the requirements for the allocation of compliance personnel.

10u3001 Corporate governance, trusteeship outsourcing and information assurance, etc

Warned unit: Joint Venture Group

Regulatory authority: Liaoning Securities Regulatory Bureau

Time: May 5, 2019

Source: responsible editor of 21st century economic report: Wang Honggui