B · Normal
[Jilin Securities Regulatory Bureau orders CITIC Securities Jilin Provincial Branch to correct administrative regulatory measures] On November 6, Jilin Securities Regulatory Bureau issued a decision to order CITIC Securities Co., Ltd. Jilin Provincial Branch to correct administrative regulatory measures. Upon investigation, CITIC Securities Jilin Provincial Branch found that the person in charge of the branch provided financial facilities to customers in violation of regulations, and multiple staff members engaged in improper transactions, reflecting that the branch's compliance management was not in place and it failed to strictly regulate the professional behavior of staff.
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