Huatai Securities

  • Got fined twice in a month! Huatai Securities received another regulatory warning due to compliance issues

    For stock trading, please read Jin Qilin analyst research reports. They are authoritative, professional, timely and comprehensive, helping you to tap potential theme opportunities! On April 25, the Shenzhen Securities Regulatory Bureau disclosed an announcement on the decision to issue a warning letter to the Shenzhen Shennan Avenue Securities Business Department of Huatai Securities Co., Ltd. According to the announcement, Huatai Securities Shenzhen Shennan Avenue Securities Sales Department cooperated with external organizations to hold customer training exchange meetings in 2019, which involved explaining securities market trends and other related content. However, the sales department did not carry out the activities, agenda, content, lecturer qualifications, etc. Compliance audit. The Shenzhen Securities Regulatory Bureau stated that the above behavior violated the provisions of Article 3 of the \”Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies\” (CSRC Order No. 133). In accordance with the provisions of Article 32, Paragraph 1, of the \”Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies\” (CSRC Order No. 133), it was decided to take administrative supervision measures by issuing a…

    stock index April 25, 2024