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Regulators casting a special inspection of securities write-offs two melting

Regulators casting a special inspection of securities write-offs two melting

stock futures business institutions of the special inspection, has entered the implementation level.  

21st century business Herald reporters from close supervision level person and several sources confirmed that the Securities and securities and Futures operations carried out previously announced special inspection this week of the year has arrived.  

in fact, the Inspection Commission early this month announced that it would issue and risk-oriented check of the part taken by the operators of securities and futures activities, according to industry sources, a number of agencies more cautious in its treatment of this round of inspections, more of which has previously launched self-examination, and controversial business and customers have taken some cleanup measures.  

for example, recently part of the brokerage has asked the two parts there are compliance risks into customer cancel its credit guarantee account, prior to that the account was established on July 2, the main problem is not met when the two into new amendments on the threshold of opening new requirements.  

according to industry sources, and in self-examination, the Agency has adopted a more stringent cleanup measures, rather than trying to avoid issues related to breaches were found but by the demands of regulatory penalties is associated.

"this year, many brokers have been fined, for violations of the industry's chances in the fall. "A midsize securities head of sales department in Beijing said," recent checks become routine, so we are very careful, before many twilight zone, or do not know whether illegal, being currently compliance (Department) finds violations, and to expand the cleanup measures. "

 

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