As of July 5th, the regulatory authorities have issued a total of 77 brokerage and investment bank business penalty tickets this year, involving 32 brokerages. Overall, Haitong Securities received the most penalties for violating investment bank business regulations, with 10 tickets; China Securities Co., Ltd. received 9 tickets, while Huaxi Securities and Citic Securities received 6 tickets each. Guosen Securities received 4 tickets, and Soochow Securities and China Merchants Securities received 3 tickets each. (Interface)
年内券商投行业务罚单多达77张
As of July 5th, the regulatory authorities have issued a total of 77 brokerage and investment bank business penalty tickets this year, involving 32 brokerages. Overall, Haitong Securities received the most penalties for violating investment bank business
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