Yesterday evening, the Tianjin Securities Regulatory Bureau issued two fines to the same brokerage, due to the inaccurate information publicity, broker management is not in place, and the personnel engaged in technical work carry out marketing and other problems, Cinda ** Tianjin Branch and the person in charge of the branch were taken to issue a warning letter. Cinda ** branch and the person in charge received a warning letterOn December 28, the Tianjin Securities Regulatory Bureau issued the "Decision on Issuing a Warning Letter to Cinda ** Co., Ltd. Tianjin Branch". The Tianjin Securities Regulatory Bureau pointed out that after investigation, Cinda ** Tianjin Branch had problems such as inaccurate information disclosure, inadequate broker management, and marketing by personnel engaged in technical work, reflecting the imperfect internal control and compliance management of the branch. 
The Tianjin Securities Regulatory Bureau believes that the above behavior violates Article 12 of the Interim Provisions on Investment Advisory Business (CSRC Announcement No. 66), Article 6, Paragraph 2, Item 5 of the Interim Provisions on the Administration of Brokers (CSRC Announcement 2020 No. 20), Article 4, Paragraph 1 of the Provisions on Strengthening the Management of Brokerage Business (CSRC Announcement No. 11, 2010) and the Measures for the Compliance Management of ** Companies and **Investment Management Companies) (Decree No. 166 of the CSRC) Article 3. In accordance with the provisions of Article 32 of the Interim Provisions on Investment Consulting Business, Article 8 of the Provisions on Strengthening the Management of Brokerage Business and Article 32, Paragraph 1 of the Measures for the Compliance Management of ** Companies and **Investment Management Companies), the Tianjin Securities Regulatory Bureau decided to take supervision and management measures of issuing a warning letter to Cinda ** Tianjin Branch. The Tianjin Securities Regulatory Bureau requires that Cinda ** Tianjin Branch should complete the rectification work within 30 days from the date of receipt of the decision and submit a written rectification report. In addition, the Tianjin Securities Regulatory Bureau also issued the "Decision on Issuing a Warning Letter to Chen" at the same time. The Tianjin Securities Regulatory Bureau pointed out that as the person in charge of the Tianjin branch of Cinda ** shares, it has management responsibility for the above problems. In accordance with the first paragraph of Article 32 of the Measures for the Compliance Management of **Company and **Investment** Management Company, our bureau has decided to take supervision and management measures against you by issuing a warning letter. 
Previously, he received a fine for illegal investment in the asset management businessAccording to public information, Cinda ** was established in September 2007, which is a ** company established on the basis of inheriting the investment banking business of China Cinda Asset Management Co., Ltd. and acquiring the ** company of Liaoning Province ** Company and Hantang ** Co., Ltd., and it is also the first AMC securities company in China. In February this year, Cinda ** was listed on the Shanghai Stock Exchange, and as of December 28, Cinda**'s share price was 1826 yuan shares, with a total market value of more than 58 billion yuan. Cinda**'s third quarterly report shows that the revenue in the first three quarters of 2023 will be about 273.9 billion yuan, an increase of 1 year-on-year74%；The net profit attributable to shareholders of the listed company was about 108.6 billion yuan, an increase of 50 percent year-on-year09%。In October this year, Cinda officially announced that it plans to invest RMB 300 million to set up a wholly-owned asset management subsidiary to engage in first-class asset management business, so as to promote the better development of the company's asset management business. The reporter noticed that he had previously received a fine for asset management business. In June this year, the Beijing Securities Regulatory Bureau took administrative supervision measures against Cinda** to order corrections. According to the Beijing Securities Regulatory Bureau, the internal control management of Cinda's ** asset management business is not perfect, and the compliance management is not in place. The investment operation of asset management products is not standardized, the investment decision-making is not prudent, the due diligence and risk assessment of investment targets are not in place, the legal basis for illegal investment is not sufficient to receive (receive) benefits, and the active management responsibilities are not implemented in the investment operation of individual asset management products. At the same time, the Beijing Securities Regulatory Bureau issued a warning letter to Cinda** to the senior management personnel in charge of the asset management business at the time. The Beijing Securities Regulatory Bureau requires that Cinda should take practical and effective rectification measures to improve the effectiveness of internal control of asset management business, strengthen business review, strengthen compliance risk management and control, and achieve steady development of compliance. In this regard, Cinda ** said that the regulatory measures have not had a significant adverse impact on the normal investment operation of the company's asset management business, and the asset management business has been running smoothly. Editor: Captain Review: Muyu.