Home » Anti-money laundering penalty for the first securities company in the new year: Zhongtian Securities was fined 1.37 million yuan jqknews

Anti-money laundering penalty for the first securities company in the new year: Zhongtian Securities was fined 1.37 million yuan jqknews

by admin

Summary

[Anti-money laundering penalty for the first securities company in the new year: Zhongtian Securities was fined 1.37 million yuan]Recently, the Shenyang Branch of the People’s Bank of China disclosed the administrative punishment of Zhongtian Securities and two people. The Shenyang Branch of the People’s Bank of China said that Zhongtian Securities failed to perform its customer identification obligations and submitted suspicious transaction reports as required, and was fined 1.371 million yuan. . (Daily Economic News)

Recently, the Chinese peopleBankShenyang Branch disclosed thesecuritiesand administrative penalties for 2 persons.Chinese peopleBankShenyang branch said, ZhongtiansecuritiesFailing to perform the obligation of customer identification as required, and failing to submit suspicious transaction reports as required, a fine of 1.371 million yuan was imposed; at the same time, two relevant personnel were responsible for this and were also fined.

Although anti-money laundering penalties often occur whenBankinsuranceand payment institutions, butsecuritiesIndustry also happens from time to time. According to statistics from the “Daily Economic News” reporter, there will be a total of 7 companies in 2021.brokerageAnd 15 personnel were punished by anti-money laundering, with a total fine of 7.2545 million yuan.The seven brokers areZhongtai SecuritiesOpen Source Securities, Essence Securities,Sinolink SecuritiesChina Merchants SecuritiesIndustrial SecuritiesandCICCa total fine of 6.529 million yuan, of whichCICCandChina Merchants SecuritiesThe top fines are 1.858 million yuan and 1.73 million yuan respectively.

(Article source: Daily Economic News)

See also  Fabi: inflation weighs on household and business savings

You may also like

Leave a Comment

This site uses Akismet to reduce spam. Learn how your comment data is processed.

This website uses cookies to improve your experience. We'll assume you're ok with this, but you can opt-out if you wish. Accept Read More

Privacy & Cookies Policy