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安徽证监局:对徽商期货有限责任公司采取责令改正措施

Anhui Securities Regulatory Bureau: Orders Huishang Futures Co., Ltd. to make corrections.

Breakings ·  Jan 2 17:47

On January 2, the Anhui Securities Regulatory Bureau's website published a decision to order Huishang Futures Co., Ltd. to make corrections. After investigation, Huishang Futures Co., Ltd. had the following issues: First, the management of intermediaries was inadequate, reflecting that the company's internal control management was not perfect, violating Article 56 of the 'Measures for the Supervision and Administration of Futures Companies' (CSRC Order No. 155); second, failing to establish, improve and continuously perfect a compliance management, risk management, and internal control system covering subsidiaries and their businesses, violating Article 51 of the 'Measures for the Supervision and Administration of Futures Companies.' According to relevant regulations, the Anhui Securities Regulatory Bureau decided to take administrative regulatory measures to order corrections from the company and record it in the integrity file of the securities and futures market.

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