东莞证券前员工“飞单”被罚 曾卷入腐败案 上市存变数
According to the Beijing News, it is determined that Zhao Yuhong is an inappropriate candidate. He shall not serve as a director, supervisor, senior management or head of a branch of a securities company within two years from the date of this decision or actually perform the above duties.
The relevant branch has received a letter of supervision
In the regulatory decision letter, the Guangdong Regulatory Authority said that after investigation, Zhao Yuhong served as the head of Dongguan Humen Branch, and organized the employee to sell the non-Dongguan Securities Agency's private equity investment fund to the client without the approval of Dongguan Securities.
On the previous April 19, Dongguan Securities Humen Branch was also punished for the same matter.
According to the supervision letter of the Guangdong Securities Regulatory Bureau on April 19, the former person in charge of Dongguan Humen Branch, Zhao Mou, organized an employee to sell non-Dongguan Securities-sold private equity investment funds to customers without the approval of Dongguan Securities. In accordance with relevant regulations, the Guangdong Securities Regulatory Bureau decided to adopt an administrative supervision measure to issue a warning letter to Dongguan Humen Branch.
According to public information, the former legal representative of Dongguan Humen Branch was Zhao Yuhong. On December 29, 2018, its legal representative was changed from Zhao Yuhong to Ji Longhong.
In order to put an end to the illegal sale of "flying orders", the regulatory authorities have long stipulated.
According to《证券公司代销金融产品管理规定》issued by the CSRC in 2012, “Securities companies should implement centralized and unified management of consignment financial products business, and clarify the duties of internal departments and branches in the sales of financial products. It is prohibited to arbitrarily sell financial products to branches of securities companies. Product."
According to the official website of the China Securities Regulatory Commission, the local CSRC has also jointly carried out special rectification actions against illegal private placement activities with the fund industry association.
The future of Dongguan Securities IPO is uncertain
xx早在2008年，东莞证券就曾报道计划上市。 2015年6月，东莞证券向中国证监会提交了首次公开发行申请，并被接受在深圳证券交易所上市。 2017年5月3日，东莞证券尚未收到上市通行证，但由于涉嫌贿赂原法定代表人和股东金龙董事长，IPO程序暂停。