Shanghai Securities Regulatory Bureau announced that Founder Securities Co., Ltd. Shanghai Fengxian Jinhai Road Securities Business Department violated the relevant provisions of the "Measures for the Administration of Suitability of Securities and Futures Investors" and the "Measures for the Administration of Securities Brokers" when handling the business authorization of the National SME Share Transfer System for institutional investors without fully performing their duties with due diligence and fully understanding the situation of investors. Shanghai regulatory bureau decided to take administrative supervision measures by issuing a warning letter to the business department. If the department disagrees with the measures, it can apply for administrative reconsideration or file a lawsuit within the prescribed time.
方正证券上海营业部被出具警示函
Founder Shanghai sales department was issued a warning letter.
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