Realname account management and personnel management are not in place... Cinda Securities received a warning letter
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On December 20, the official website of the China Securities Regulatory Commission showed that the Beijing Securities Regulatory Bureau took administrative supervision measures against Cinda Securities by issuing a warning letter.
Upon investigation, it was found that Cinda Securities had australia phone number list problems such as inadequate realname management of accounts, inadequate protection of customer rights and interests, and inadequate personnel management . The Beijing Securities Regulatory Bureau decided to take administrative supervision measures by issuing a warning letter.
The Beijing Securities Regulatory Bureau pointed out in its decision that Cinda Securities had the following three main problems:
First, the realname management of accounts is not in place. For some customers who stated in telephone followup that their accounts were not operated or used by themselves, Cinda Securities did not take measures such as reidentification, analysis and identification of suspicious transactions, and antimoney laundering control.