Fay in hot spots 丨 Individual bond projects are not practicing in place, and Zhongtai Securities is required to order correction

Recently, the relevant bonds of Zhongtai Securities issued an announcement saying that on August 16, the Shandong Regulatory Bureau issued the "Decision on Obipping the Regulatory Measures on Correction of Correction of Zhongtai Securities Co., Ltd." issued by the Shandong Regulatory Bureau on August 15.

According to the content of the decision, the business system of individual investment banking of Zhongtai Securities is not detailed, and the internal control constraints and management mechanisms are not in place in the practice of individual bond projects.After the termination of individual bond projects, the project team did not timely terminate the project information reporting to the quality control department into the termination of the project database.The work of individual bond projects is incomplete or irregular.

Zhongtai Securities stated that it attaches great importance to the above matters. It will further sort out the bond business management system and business process, improve the relevant internal control system and operating specifications, strengthen the level of internal control management, and complete the rectification within the prescribed time in accordance with the regulatory requirements.

The reporter noticed that as of press time, the website of the Shandong Securities Regulatory Bureau has not disclosed the announcement of the China -Thailand Securities' supervision measures.

Daily Economic News

- END -