CSRC has taken regulatory measures against haitong sec co., LTD. After investigation, CSRC found that haitong sec was not diligent enough in some projects; the supervision during the project initiation stage was lax; the quality control and internal core inspection were not strict; and the construction of the investment banking business information management system was incomplete. The above situation violates Article 6 of the Measures for Compliance Management of Securities Companies and Securities Investment Fund Management Companies. According to Article 32 of the Compliance Management Measures, CSRC has decided to take administrative supervision and management measures to order haitong sec to make corrections. CSRC requires the company to take it as a warning, carefully identify and rectify problems, establish sound and strictly implement internal control systems, work processes, and operational norms for investment banking business, be honest and trustworthy, diligent and responsible, and effectively improve the quality of investment banking business.