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Source: Bread Finance
Recently, the Jiangsu Securities Regulatory Bureau publicly disclosedvideopokercasinonearmeAdministrative penalties were imposed on Everbright Securities (Rights Protection) Nanjing Branch.
The administrative penalty decision shows that "after investigationvideopokercasinonearme, from 2018 to 2019videopokercasinonearmeWhen opening up the authority of the national small and medium-sized enterprise share transfer system for some customers, the sales department under your branch failed to perform its duties diligently, perform its duties prudently, fully understand the situation of investors, and failed to effectively verify the asset certification documents and investment experience and other materials provided by customers."Jiangsu Securities Regulatory Bureau decided to take administrative supervision measures to issue a warning letter against Everbright Securities Nanjing Branch, and record it in the securities and futures market integrity files.
Everbright Securities: Was punished by supervision for failing to fully fulfill its verification obligations during continuous supervision
According to statistics reported by regulatory authorities, Everbright Securities has been punished many times by regulatory authorities since 2024
In May 2024, Everbright Securities received the "Decision on Taking Supervision Measures to Issue Warning Letters against Everbright Securities Co., Ltd., Zhou Ping, and Wang Shiwei" issued by the Jiangsu Securities Regulatory Bureau.
The "Decision" shows,"After investigation, Everbright Securities failed to fully fulfill its verification obligations during the 2018 project of issuing shares to purchase assets and raising supporting funds by Jintongling (Rights Protection) Technology Group Co., Ltd. to perform its continuous supervision duties and used other securities services. The professional opinions of the agency did not carry out necessary prudent verification, resulting in false records of the preparation and issuance of the continuous supervision opinions for 2018-2020. Financial consultant organizers Zhou Ping and Wang Shiwei are directly responsible for the above violations."
In March 2024, Everbright Securities Yinchuan Fenghuang North Street Securities Business Department received the "Decision on Taking Measures to Issue Warning Letters to Everbright Securities Co., Ltd. Yinchuan Fenghuang North Street Securities Business Department" issued by the Ningxia Securities Regulatory Bureau.
The "Decision" shows,"After investigation, during the marketing activities of securities brokerage business, employees in your sales department provided investors with risk assessment answers, made commitments to investors on the income from securities trading or compensated for losses from securities trading, and cooperated with investors. People agree to share investment income or share investment losses, entrust others to attract customers, and privately sell private equity products that are not sold by the company."