The Securities Regulatory Commission issued a decision to issue a warning letter against Everbright Securities Co., Ltd. After investigation, it was discovered that the company had poor quality control over project risks and draft due diligence, inadequate tracking and implementation of core opinions, and internal control concerns were not fully disclosed in some project issuance and sponsorship work reports. The above situation violated relevant regulations. The Securities Regulatory Commission decided to take administrative supervision and management measures to issue a warning letter against the company. The company should strengthen internal control and management of investment banking business and hold relevant responsible personnel internally accountable.

The Securities Regulatory Commission issued a decision to issue a warning letter against Everbright Securities Co., Ltd. After investigation, it was discovered that the company had poor quality control over project risks and draft due diligence, inadequate tracking and implementation of core opinions, and internal control concerns were not fully disclosed in some project issuance and sponsorship work reports. The above situation violated relevant regulations. The Securities Regulatory Commission decided to take administrative supervision and management measures to issue a warning letter against the company. The company should strengthen internal control and management of investment banking business and hold relevant responsible personnel internally accountable.