Guoyuan Securities Trading Software failure is not reported in time, etc.

Zhongxin Jingwei, June 29th. On the 29th, the Anhui Securities Regulatory Bureau reported that due to incomplete information security emergency plans, Guoyuan Securities Co., Ltd. was taken to have a warning letter.

The Anhui Securities Regulatory Bureau pointed out that after investigation, the following problems were found to have the following problems: First, the company's mobile client trading software was not fully tested before the system upgrades and changed. Second, the mobile client trading software failed on June 13, 2022, and did not report to our bureau in time. Third, the information security emergency plan is incomplete.

The Anhui Securities Regulatory Bureau believes that the above behavior violates the "Measures for the Report and Investigation Report and Investigation Handling of the Securities and Futures Industry" (announcement of the CSRC [2021] No. 12) Article 18 (1), and the "Securities Fund Management Institutional Information Technology Management of Information Technology Management (Measures "(Order No. 179 of the CSRC) Article 38, and the" Administrative Measures for the Securities and Futures Industry Information Security Security "(Article 82 of the CSRC).

According to Article 507 of the "Administrative Measures for Information Technology Management of Securities Fund Operations Institutions" and Article 50 of the "Administrative Measures for the Securities Futures Industry Information Security Security Security Guarantee", the Anhui Securities Regulatory Bureau decides that the administrative supervision of the National Yuan Securities with a warning letter shall be adopted by the National Yuan Securities. Measures and recorded in the securities and futures market integrity files. Guo Yuan Securities should strengthen the study of relevant laws and regulations, improve the emergency response mechanism, strengthen internal control and compliance management, improve the capacity of information system operation and maintenance, and prevent such incidents from happening again.

According to information on the official website of the Guoyuan Securities, Guoyuan Securities was established by the former Anhui Provincial International Trust Investment Corporation and the former Anhui Trust Investment Corporation as the leader and established in October 2001. On October 30, 2007, taking the opportunity of equity distribution reform, the company's backdoor "Beijing Hua" successfully listed on the Shenzhen Stock Exchange.

Wind data shows that on June 29, Guoyuan Securities opened low, and as of press time, it rose 0.16%to 6.33 yuan. (Zhongxin Jingwei APP)

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