On May 11, the Chongqing Securities Regulatory Bureau issued “fines” against Minmetals Futures Chongqing Sales Department and Nanhua Futures Chongqing Sales Department respectively. The content of the “fines” involved “inadequate compliance risk management and flaws in internal control” in the Chongqing sales departments of the two futures companies. The Chongqing Securities Regulatory Bureau decided to take administrative supervision measures to issue warning letters against the sales departments of the two futures companies mentioned above, and record them in the securities and futures market integrity files.
南华期货、五矿期货重庆营业部领“罚单”，均涉及合规风险管理问题
The Chongqing Sales Department of Nanhua Futures and Minmetals Futures received “fines”, all involving compliance risk management issues
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