Zhongxin Jingwei, March 7 Qingdao Securities Regulatory Bureau reported on the 7th that the business department of China Galaxy Qingdao Haikou Road was warned for using people who were not registered with the China ** Industry Association to handle business.
The Qingdao Securities Regulatory Bureau found that the business department of Qingdao Haikou Road, China Galaxy Co., Ltd., used labor dispatch personnel who were not registered with the China ** Industry Association to handle the relevant business of margin financing and securities lending for the customer, and used the relevant seal of the business department to notify the customer of the additional financing collateral and seal registration and other links in violation of the company's internal system, reflecting that the internal control of the business department was not perfect, the compliance management was not in place, and violated Articles 3 and 6 of the "Measures for the Compliance Management of **Company and **Investment**Management Company". Article 126 of the "*Company Internal Control Guidelines".
In accordance with Article 32 of the Measures for the Compliance Management of **Company and **Investment** Management Company, the Qingdao Securities Regulatory Bureau decided to take regulatory measures to issue a warning letter to the business department. It also requires the sales department to improve and strictly implement the internal control mechanism, effectively strengthen compliance management, and strictly regulate the professional behavior of staff.
*: Qingdao Securities Regulatory Bureau**.
According to the company's official website, China Galaxy is a comprehensive financial service provider in China's industry, and the actual controller is Huijin Investment Co., Ltd., which has a full license for market business in China. (Zhongxin Jingwei app).
For more exciting content, please pay attention to the official WeChat of JWVIEW***