Fortune Securities Listing three new board business sensitive moment was regulatory halt hot column capital flows thousands of thousands of stocks the latest Rating Rating diagnosis simulated trading client Chinese Economic Net editor’s note: on Friday, fortune securities accounts due to three new "named by the csrc". Wealth securities exist for a large number of investors do not meet the standard opened three new board permissions, investors risk assessment management loopholes, and did not truthfully report the issue of the Commission to carry out inspections and other issues. In this regard, the commission ordered the deadline to correct the wealth of securities, and the suspension of the national stock transfer system to open a new customer trading authority 6 months. It is worth mentioning that the wealth of Securities Commission punishment, is in the curve of the listing stage. 2 months ago, Valin steel announced that intends to non-public offering of shares to buy finance holdings held the finance investment 100% stake and Shenzhen moist the wealth held 3.77% equity securities, the transaction price initially issued shares to buy assets of 8 billion 587 million yuan. Public information, finance investment has issued a "public offering of corporate bonds in 2016 prospectus" in April 2016, compared with the prospectus disclosure of the data, the reorganization plan, the financial data between finance investment disclosure of more than 100 million yuan. In this regard, some media reports said, in the regulatory focus on the category of backdoor restructuring in the background, the transaction can successfully passed the audit is still unknown. In this regard, China Economic Net call Fortune Securities headquarters phone, to be interviewed by the Commission’s administrative punishment, but the company has no answer phone. Because of the new board account issues by the SFC administrative supervision in September 9th, the Commission spokesman Deng Ge said at a press conference, the Commission on the day before the wealth of the securities to adopt the administrative supervision measures. According to the China economic network to understand, 3-5 months of this year, the Commission launched a hosted brokerage executive investors in the management of the special inspection, involving all engaged in the national share transfer system account business sponsored by 90 brokerages, nearly 4 years of account information, all 120 thousand qualified investors account. The Commission said that the investigation found, part sponsored by brokerage executive national share transfer system for investors in the management of the situation is not in place. Among them, there are not strict implementation of the provisions of securities, for a large number of investors do not meet the standards of the opening of the national share transfer system trading rights, investor risk assessment management loopholes, and not in the Commission to carry out inspection and truthfully report the problem. According to the relevant provisions of the "Regulations" of the supervision and administration of securities companies, Securities Regulatory Commission to take Fortune Securities shall be ordered to make corrections, and suspend the share transfer system in the country to open a new customer access to trading business for 6 months the administrative supervision measures. According to news reports, Orient Securities research experts Duan Junfang said the new board, the new board market clearing unqualified investors cannot be isolated to interpret events. It can be said that regulators are through a series of corrective measures to promote the entire capital market is the market for qualified investors. At present, the new three board market rules tend to improve and stabilize." Duan Junfang said that these penalties are not enough to host the brokerage through a variety of channels, not to comply with the article相关的主题文章: