Hualong Securities Branch "Flying List" was supervised and warned, and then the person in charge participated in person. He was also fined 20,000 yuan for private entrustment for clients.

There are also "flying orders" of brokers' branches. On July 1, the Sichuan Securities Regulatory Bureau announced that Hualong Securities Sichuan Branch and Chengdu Renmin South Road Securities Department had a financial product recommended to customers selling non -company agencies. It is worth noting that Zhou Moufei, the head of the branch company and the business department, also participated in the "flying order" and obtained the benefits. In addition, Zhou Moufei also had a private acceptance of client entrusted to buy and sell securities, and was fined 20,000 yuan by the Sichuan Securities Regulatory Bureau in April this year.

In addition, the reporter sorted out and found that since the beginning of this year, the Everbright Securities (SH601788, the stock price of 15.37 yuan, a total market value of 70.9 billion yuan) and the business department of CICC.

Hualong Securities Branch was punished in time

On July 1, the Sichuan Securities Regulatory Bureau disclosed that after investigation, Hualong Securities Sichuan Branch exists in the following problems: First, the branch company and Chengdu Renmin South Road Securities Sales Department exist to recommend the sales of non -company's financial products to sell non -corporate sales; It is the situation of marketing customers in the background employees of the branch company and Chengdu Renmin South Road Securities Business Department. Therefore, the supervision and management measures with alert letter of Hualong Securities Sichuan Branch have taken a warning letter.

At the same time, the Sichuan Securities Regulatory Bureau also punished Zhou Moufei and Han Mouqin respectively.

The Sichuan Securities Regulatory Bureau said that Zhou Moufei had the behavior of recommending non -corporate consignment financial products and obtaining benefits for customers during the time of serving in the Sichuan Branch of Hualong Securities and the Chengdu Renmin South Road Securities Business Department. The person in charge of the company and the business department shall be responsible for the inadequate issues of relevant compliance management of branches and business departments. In addition, Han Mouqin had an act of setting up an individual industrial and commercial households to provide investment and research services and obtain benefits to third parties during his tenure during his office in Chengdu's Chengdu Renmin South Road Securities Business Department.

"Daily Economic News" reporter further discovered that, in fact, on May 9 this year, the Sichuan Securities Regulatory Bureau had punished Zhou Moufei for securities transactions.

It is reported that Zhou Moufei obtained the qualifications of securities in May 2009, and worked in Hualong Securities from May 2016 to October 2021. From August 2017 to March 2021, Zhou Moufei accepted his client Ma Mouqiong commissioned by his client, and commissioned a total of 263 stocks to buy and sell stocks, with a transaction value of 18.6187 million yuan. Ma Mouqiong Securities account funds from me, and Zhou Moufei made no illegal income. In the end, the Sichuan Securities Regulatory Bureau was ordered by Zhou Moufei to accept the customer's entrusted trading securities in private, ordered correction, warned, and fined 20,000 yuan.

According to the China Securities Association, Zhou Moufei left on May 6, on the eve of the aforementioned administrative penalty, and Han Mouqin had left in April last year.

Everbright Securities and CICC Fortune Branch During the Year also had "flying orders" and was fined

Back to the beginning of the "flying order", generally refers to the employees of the brokers 'branches using investors' trust in securities firms. Sales are products that are not owned by the securities firms or products, and they obtain high commission commission.

But in fact, securities practitioners must not recommend the sales of financial products issued or selling non -company issued by our company. For example, Article 6 of the "Regulations on the Management of Financial Products of Securities Company" clearly stipulates that the securities company shall implement centralized and unified management of the business -based financial product business, and clarify the responsibilities of the internal departments and branches in the sales of financial product business. It is forbidden to sell financial products without authorization.

Although regulators are banned from the "flying order" behavior in the industry, there are also some brokerage branches and employees who take risks. Therefore, "flying orders" are more common in regulatory punishment.

"Daily Economic News" reporters have sorted out and found that since the beginning of this year, there have been branch institutions and practitioners under Everbright Securities and CICC Fortune.

In January of this year, the Guangdong Securities Regulatory Bureau stated that the Everbright Securities Dongguan Nancheng Hongfu Road Securities Sales Department had the behavior of private equity investment funds selling non -Everbright Securities Sales Sales. Therefore, the Guangdong Securities Regulatory Bureau has adopted a supervision measure for the issuing letter of the business department. At the same time, the business department is required to attach great importance to the above issues, organize staff to effectively strengthen the study of securities laws and regulations, further strengthen internal control, and prevent such incidents.

In addition, in March of this year, the Anhui Securities Regulatory Bureau stated that the business department of Zhongjin Fortune Ma'anshan Yinshan Road not only exists in the problem of private equity fund products that sell non -company agency on behalf of non -company, but also have the problem of inadequate management of blank contract texts in the business department. Therefore, the Anhui Securities Regulatory Bureau took measures to issue a police letter on the business department. At the same time, Chen, as the head of the business department, had a direct responsibility for this and was punished by a warning letter.

Daily Economic News

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