2024/05/0800:31:32 finance 1134

The Paper reporter Tian Zhongfang

Another securities firm has been punished by supervision due to trading system problems.

html On June 29, the Anhui Securities Regulatory Bureau issued an announcement stating that due to failure of the Guoyuan Securities Co., Ltd. (000728, hereinafter referred to as " Guoyuan Securities ") mobile client trading software failure to report in time, it decided to issue it Warning letter.

It is worth noting that Guoyuan Securities, whose performance has been growing for three consecutive years, saw a large decline in revenue and losses in the first quarter of this year.

As of the close of trading on June 30, Guoyuan Securities closed at 6.22 yuan per share, down 0.48%.

was issued a warning letter due to failure to report the malfunction of the mobile client trading software in a timely manner.

Anhui Securities Regulatory Bureau announced that after investigation, it was found that Guoyuan Securities had three problems: First, the company’s mobile client trading software had been upgraded and changed in the system. Not fully tested before going live. Second, the mobile client trading software malfunctioned on June 13, 2022, and it was not reported to our bureau in time. Third, the information security emergency plan is incomplete.

"The above behavior violated the relevant provisions of the "Measures for Reporting, Investigation and Handling of Cybersecurity Incidents in the Securities and Futures Industry". Our Bureau decided to take administrative supervision measures by issuing a warning letter to Guoyuan Securities and record it in the securities and futures market integrity files." Anhui The Securities Regulatory Bureau said.

At the same time, the Anhui Securities Regulatory Bureau emphasized that Guoyuan Securities should strengthen the study of relevant laws and regulations, improve emergency response mechanisms, strengthen internal control and compliance management , and improve information system operation and maintenance capabilities to prevent such incidents from happening again.

html In the past four years, many securities companies have been punished due to trading system problems.

Coincidentally, many securities companies have been punished by regulatory authorities due to trading system problems during the year. Among them, there are many industry leaders.

On the evening of April 7, the official website of the Beijing Securities Regulatory Bureau issued the "Decision on Ordering and Correcting Supervisory Measures against Beijing Capital Securities Co., Ltd." The Beijing Securities Regulatory Bureau pointed out that a partial interruption of the centralized trading system of Capital Securities occurred on May 18, 2021, which affected the total trading time for about 20 minutes. The incident reached the standard of a major information security incident.

"At the same time, Beijing Capital Securities failed to truthfully report improper emergency handling in its first report. In accordance with relevant regulations, it was decided to take administrative regulatory measures to order rectifications against Capital Securities." Beijing Securities Regulatory Bureau further pointed out.

On the morning of March 14, “ China Merchants Securities collapsed” appeared on Weibo’s hot search list. Some netizens said that the China Merchants Securities system cannot buy, sell, or withdraw.

html On March 15, China Merchants Securities responded that the failure on the previous day was due to processing delays and other failures in the centralized trading return system, which caused some customers to fail to receive transaction return information in time and canceled orders. "We immediately mobilized resources, conducted emergency investigations, and repeatedly verified and tested. The fault has been eliminated and system services have returned to normal."

Due to problems such as untimely and inadequate emergency response during network security incidents, China Merchants Securities was taken by the Shenzhen Securities Regulatory Bureau. Administrative regulatory measures to order corrections.

html On April 4, the Shenzhen Securities Regulatory Bureau stated that after investigation, China Merchants Securities had problems such as imperfect change management and untimely and inadequate emergency response during the network security incident on March 14, 2022. The above behavior violates relevant regulations. In accordance with Article 50 and other provisions of the "Information Security Assurance Management Measures", our bureau has decided to take administrative supervision measures to order your company to make corrections.

The Shenzhen Securities Regulatory Bureau emphasized that China Merchants Securities should further strengthen the overall planning of the construction of important information systems, fully understand the system architecture and internal operating mechanisms, strengthen research and development, testing, online, upgrade changes and operation and maintenance management , improve the emergency response mechanism, and ensure The professional capabilities and quantity allocation of personnel in key positions ensure the safe and smooth operation of information systems.

suffered losses in the first quarter of this year.

Official website information shows that Guoyuan Securities was established in October 2001 with the former Anhui International Trust and Investment Company and the former Anhui Trust and Investment Company as the main sponsors. On October 30, 2007, taking the opportunity of 's share-trading reform , Guoyuan Securities backdoored "Beijing Chemical 2" and listed it on the Shenzhen Stock Exchange.

Currently, Guoyuan Securities wholly owns Guoyuan International Holdings Co., Ltd., Guoyuan Equity Investment Co., Ltd., and Guoyuan Innovation Investment Co., Ltd. At the same time, it mainly controls and participates in Guoyuan Futures Co., Ltd., Changsheng Fund Management Co., Ltd. , etc.

Wind data shows that as of the end of April this year, there were three major shareholders of Guoyuan Securities holding more than 5% of the shares, namely Anhui Guoyuan Financial Holding Group Co., Ltd., Anhui Guoyuan Trust Co., Ltd. , and Jian'an Investment Holdings Group Co., Ltd. , the shareholding ratios are 21.52%, 13.33%, and 5.42% respectively.

In terms of performance, Guoyuan Securities suffered a loss in the first quarter of this year. Among them, in terms of revenue, it achieved 583 million yuan, a year-on-year decrease of 36.71% (compared with the same period of the previous year). In terms of net profit, Guoyuan Securities lost 120 million yuan, a significant year-on-year decrease of 135.96%.

Guoyuan Securities' first quarter report for 2022 shows that during the reporting period, investment income fell by 73.73% year-on-year due to a decrease in disposal income of trading financial assets . At the same time, due to the increase in costs carried forward by the company's spot basis business, 's other business costs increased by 694.77% year-on-year.

As of the noon closing on July 1, Guoyuan Securities closed at 6.14 yuan per share, down 1.29%.