Beijing Business News (Reporter Li Haiyuan) April 30SafariSlots, the Xinjiang Securities Regulatory Bureau issued a document stating that after investigation, the Securities Business Department of Urumqi Youhao North Road (hereinafter referred to as the "Business Department") of Haitong Securities (600837) Co., Ltd. provided convenience for others to use client-related securities accounts; failed to re-evaluate clients 'risk tolerance in a timely manner; and provided financing extension services that did not match investors' risk tolerance at that time. Miao Miao was directly involved in the above-mentioned violations and was responsible during her tenure in the sales department.
The above-mentioned behaviors violate relevant regulations. In accordance with relevant regulations, the Xinjiang Securities Regulatory Bureau decided to take administrative supervision measures to issue warning letters against the sales department and Miao, and record them in the securities and futures market integrity files. At the same time, the sales department is required to attach great importance to the above issues and in accordance with relevant laws and regulations require continuous strengthening of compliance internal control management and investor appropriateness management, and submit written rectification reports.