证监会7月31日披露多份行政监管措施决定书，对广发证券、世纪证券、红塔证券、国融证券、国元证券、甬兴证券六家证券公司采取监管措施1。其中广发、世纪、红塔三家被出具警示函，国元、国融、甬兴三家被责令改正1。
广发证券因质控部门独立性不足、项目收费不规范被出具警示函1。世纪证券存在质控、内核把关不严、薪酬管理不规范等问题，同样被出具警示函1。红塔证券则因质控现场核查不到位、保荐工作报告披露不充分、底稿验收把关不严被出具警示函1。
在被责令改正的三家券商中，国元证券时任投行业务负责人李洲峰、国融证券时任投行业务负责人柳萌、甬兴证券时任投行业务负责人金勇熊分别被出具警示函1。
The China Securities Regulatory Commission (CSRC) disclosed multiple administrative enforcement decisions on July 31, taking regulatory action against six securities firms for violations in investment banking operations and internal controls 1.
Three brokerages—Guangfa Securities, Century Securities, and Hongta Securities—received warning letters, while Guoyuan Securities, Guorong Securities, and Yongxing Securities were ordered to make corrections 1. The violations encompassed inadequate quality control, substandard due diligence practices, and non-compliant underwriting procedures 1.
Guangfa Securities faced issues including insufficient independence of its quality control department and irregular project fee management 1. Century Securities was cited for lax quality control and internal review oversight, as well as irregularities in compensation administration 1. Hongta Securities' problems included inadequate on-site quality inspections, insufficient disclosure in underwriting reports, and inadequate review controls over working papers 1.
For the three firms ordered to make corrections, individual investment banking executives also received warning letters: Li Zhoufeng at Guoyuan Securities, Liu Meng at Guorong Securities, and Jin Yongxiong at Yongxing Securities 1.
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