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证监会:对西南证券股份有限公司采取责令改正措施的决定

The Securities Regulatory Commission: A decision was made to order Southwest Securities Co., Ltd. to correct its actions.

Breakings ·  Feb 14 19:23

The official website of the Securities Regulatory Commission announced the decision to order Southwest Securities Co., Ltd. to take corrective measures. Southwest Securities has the following violations: First, there are issues with the compliance internal control of individual CSI Enterprise bond Index projects being too lax, leading to errors and irregularities in project initiation. Second, in some CSI Enterprise bond Index projects, the entrusted management has not been diligent enough, failing to continuously supervise the issuer's obligation to disclose information and monitor the use of raised funds. Third, due diligence in some CSI Enterprise bonds and asset securitization projects was insufficient. The Securities Regulatory Commission has decided to impose administrative regulatory measures requiring the company to correct its actions.

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