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].