Important news: Recently, the Hubei Securities Regulatory Bureau announced the decision of Changjiang Securities Co., Ltd. to take corrective measures and to take supervisory talk measures against the director secret secretary Li Jia. It is understood that this is the second correction that has been received by Changjiang Securities in the past half year.
The Hubei Securities Regulatory Bureau stated that the Changjiang Securities had found the following five violations:
The implementation of the company's insider information insider registration management system is not in place; the company did not report the shareholder's equity pledge to the Bureau on time; the notice period of the company's part of the board meeting was not in conformity with the regulations; and the notice period of the company's part of the compensation and nomination committee meeting was not met. Regulations; Supervisors are inconsistent with the specific management and supervisory duties.
Hubei Securities Regulatory Bureau pointed out that the above situation reflects the internal control of Changjiang Securities is not perfect and violates the provisions of Article 27 of the “Regulations on the Supervision and Administration of Securities Companies”. Li Jia, as the then secretary of the company's board of directors, had direct responsibility for the above-mentioned violations of Changjiang Securities, and violated the provisions of Article 4 of the Measures for the Supervision of the Qualifications of Directors, Supervisors, and Senior Management of Securities Companies.
According to Article 70 of the "Regulations on the Supervision and Administration of Securities Companies," the Hubei Securities Regulatory Bureau decided to supervise and administer measures to rectify Changjiang Securities and order Changjiang Securities. After receiving the written decision, the above issues were corrected, internal control was improved, and a written rectification report was submitted. At the same time, took administrative supervision measures of Li Jiang, the secretary of the board of directors of Changjiang Securities, and asked Li Jia to take a valid identity document to receive supervision talks at 10:00 a.m. on April 27, 2018.
It is understood that the above two administrative supervision measures were decided by the Hubei Securities Regulatory Bureau on April 24, 2018, but Changjiang Securities did not publish it in the announcement. Make disclosures.
This is the second time that Changjiang Securities has received regulatory measures to order corrections within six months.
In January 2018, the Hubei Securities Regulatory Bureau once ordered Changjiang Securities to make corrections due to a violation of Changjiang Securities in the management of customer transaction settlement funds. The capital account balance of 270 clients totaled “inflated” by RMB 71.42 million. Moreover, Changjiang Securities, as the official brokerage firm recommended by Lu Qiang, did not promptly find out the issue of Luqiang Electric's letter defect.
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Facts At the same time, Changjiang Securities seems to have been uneven in the past six months. At the end of 2017, Deng Hui’s resignation was once rumors of real controlThe battle for the right results. According to the newly announced shareholders of Changjiang Securities, the new Lean Group Co., Ltd., as the largest shareholder, increased holdings of 3.0525 million shares in the first quarter of this year, accounting for 12.9% of the total share capital.
This article comes from Hexun
Public number: Xiang Qian (xiangqian066) Xianggan mainly provides information and project interactions in Hubei.