B[Hubei Securities Regulatory Bureau’s decision to order rectification of administrative regulatory measures against Changjiang Securities Co., Ltd.] On September 11, the Hubei Securities Regulatory Bureau made a decision to order rectification of administrative regulatory measures against Changjiang Securities Co., Ltd. After investigation, Changjiang Securities Co., Ltd. failed to strictly regulate the professional behavior of individual staff of the institute and violated the provisions of Article 6, Item 4 of the "Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies (Revised in 2020)" (CSRC Order No. 166). According to the provisions of Article 32, Paragraph 1, of the "Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies (2020 Revision)" (CSRC Order No. 166), it was decided to take administrative regulatory measures to order corrections against Changjiang Securities Co., Ltd., and record it in the securities and futures market integrity files. Changjiang Securities Co., Ltd. should attach great importance to the above-mentioned problems, take effective measures to conscientiously rectify them, strictly regulate the professional behavior of staff, and effectively improve the level of compliance and internal control management. Changjiang Securities Co., Ltd. shall submit a rectification report to our Bureau within 30 days from the date of receipt of this decision letter.
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