The Beijing Securities Regulatory Bureau announced that CITIC Construction Investment Securities has the following problems: careless development of OTC options and proprietary business, inadequate management of employees, and unregulated corporate governance, reflecting the company's failure to effectively implement compliance management, risk management and internal control, in violation of Article 27 (1) of the “Securities Company Supervision and Administration Regulations” (State Council Order No. 653) and section 3 of the “Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies (2020 Revision)”.
北京证监局对中信建投证券股份有限公司采取责令增加合规检查次数的行政监管措施
The Beijing Securities Regulatory Bureau has taken administrative supervision measures against CITIC Construction Investment Securities Co., Ltd. ordering an increase in the number of compliance checks
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