Tianfeng Asset Management was issued a letter from the Securities Regulatory Bureau, and its parent company executives were also questioned at high salaries

Jimu Journalist Hu Hao

Recently, due to incomplete internal control, incomplete risk prevention measures, insufficient pre -risk prevention measures, insufficient counseling and propaganda work for customers, Tianfeng (Shanghai) Securities Asset Management Co., Ltd. (hereinafter referred to as "Tianfeng Fengfeng" Asset management ") was issued by the Shanghai Securities Regulatory Bureau. At the same time, Tianfeng Securities Co., Ltd. Tianfeng Securities Co., Ltd. (hereinafter referred to as "Tianfeng Securities") executives of Tianfeng Asset Management held the bottom of the industry with a high salary but stock price performance.

Tianfeng Asset Management Police Letter Letter Letter

On June 24, the official website of the Shanghai Securities Regulatory Bureau issued an announcement saying that due to problems in the development of asset securitization business, Tianfeng Asset Management was issued a warning letter, and Fu Yu, the general manager of Tianfeng Asset Management, also received a warning letter. Essence

Screenshot of the official website of Shanghai Securities Supervision Bureau

According to the decision, after investigation, Tianfeng Asset Management has two major problems during the development of asset securitization business: First, internal control is not perfect. The compensation assessment and the deferred revenue have not been complete, the quality control and the head of the kernel department are mixed, the registered management of insiders has not been disclosed, and the inspection of the drafts is not strict. The second is that the pre -risk prevention measures of integrity are not complete, and there are insufficient counseling and publicity work in customers.

The Shanghai Securities Regulatory Bureau decided to adopt administrative supervision and management measures with a warning letter to Tianfeng Asset Management, and asked Tianfeng asset management to quote as a warning, carefully find and rectify the problem, continue to improve the internal control of investment banking business, and strengthen the management of integrity. And submit a written report to the CSRC.

At the same time, the Shanghai Securities Regulatory Bureau believes that, as the general manager of Tianfeng Asset Management, Fu Yu has a management responsibility for the above issues and decided to adopt administrative supervision and management measures with alert letter.

Tianyancha shows that Tianfeng Asset Management was established in August 2020. It is a all -funded management subsidiary of Tianfeng Securities. The legal representative is Fu Yu. Outside of business licenses to carry out business activities based on law).

Tianfeng Securities executives are questioned at high salary

The parent company's alarm letter was questioned, and the parent company was also questioned. Recently, some investors questioned the investor relations platform with the bottom of the industry with a high salary but the industry, and questioned whether the company's vice presidents met the standards.

Investors question

Data show that there are 17 people with a salary of more than one million in the Sky Feng Securities executives. Zhai Chenxi, executive vice president of Tianfeng Securities, reached 9.993 million yuan. Vice president, in charge of fixed income, international and other sectors, leading the trading team to win the honor of the best transaction supervisor and best securities firm.

Tianfeng Securities's first quarterly report showed that the company's main revenue was 365 million yuan, a year-on-year decrease of 46.0%; net profit of home mother-84.3015 million yuan, a decrease of 194.76%year-on-year; The debt ratio was 74.38%, and the investment income was 187 million yuan.

Screenshot of the content of the investor relationship platform

It is worth mentioning that investors ask questions on the investor relationship platform that the warning reminder received by your company has proved that the concern of small and medium investors is right. return?

On June 27, the secretary of Tianfeng Securities replied that the company did not have the situation of "illegal income in the staff".

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