jeopardyapril292022| Bohai Securities was filed by China Securities Regulatory Commission

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Bohai Securities, which is in IPO, is on file for investigation. On May 14, Bohai Securities announced that the company received the notice of filing a case by the China Securities Regulatory Commission on May 9 (CSRC filing No. 0082024007). According to the relevant laws and regulations, the CSRC decided to file a case against Bohai Securities on April 24 because the company was suspected of violating the rules and regulations of its financial consulting business.

At present, Bohai Securities is still in the process of IPO. The IPO of Bohai Securities was accepted by the Shanghai Stock Exchange on March 1, 2023. After being questioned on March 17, 2023, it has not updated the progress of the audit. If established in violation of laws and regulations, the IPO process of Bohai Securities may be affected.

Suspected of violating the law and regulations in the business of financial consultants

On the morning of May 14, Bohai Securities-related Bonds issued an announcement on receipt of the notice of filing a case by the China Securities Regulatory Commission.

Bohai Securities said it received a "notice to file a case" from the CSRC on May 9. On April 24, the Securities Regulatory Commission decided to file a case against Bohai Securities on suspicion of violating laws and regulations in the business of financial advisers. However, Bohai Securities did not disclose the names of specific projects suspected of violating the law.

Bohai Securities said that the company's current operating conditions are normal, the incident has no adverse impact on the company's solvency. The company will actively cooperate with the relevant work of the China Securities Regulatory Commission and fulfill its information disclosure obligations in strict accordance with regulatory requirements.

According to public information, Bohai Securities, registered in Tianjin Binhai New area, opened in June 2001 and was restructured into a joint stock limited company in 2008. The controlling shareholder of Bohai Securities is Tianjin Teda International Holdings (Group) Co., Ltd., and the actual control is Tianjin SASAC. Headquartered in Tianjin, the company has 21 branches and 45 securities business departments in Tianjin, Beijing, Shanghai, Guangdong and other important provinces, autonomous regions and cities.

In terms of performance, Bohai Securities achieved operating income in 2023.Jeopardyapril2920220.01 million yuan, with an operating profit of 667 million yuan. In terms of business structure, in 2023, Bohai Securities proprietary business accounted for 89.81% of operating profit, 36.30% of credit business operating profit, 7.90% of investment banking business operating profit, 6.32% of securities brokerage business operating profit, 5.12% of entrusted asset management business operating profit, 4.76% of alternative investment business operating profit and 0.13% of futures business operating profit. The proportion of operating profit of securities proprietary business increased significantly in 2023.

According to the prospectus, from 2019 to the first half of 2022, the income of Bohai Securities financial consultant business was 345 million yuan, 66.9 million yuan, 20.4088 million yuan and 36.1744 million yuan respectively.

Among them, in 2019, the operating income of the business branch of Bohai Securities Investment Bank was higher, mainly due to the fact that the company, as a financial consultant, completed the maturing resale and resale financial advisory projects of "160000 up to 02", "160000 up to 03" and other bonds for clients.

A strong regulatory storm swept through the securities industry

"strict supervision and strict management" is making a deep impression on the securities industry, especially in compacting the responsibility of intermediary "gatekeepers". Supervision has been strengthened continuously, and a number of securities firms have been put on file for investigation.

Prior to this, the two leading brokerages CITIC Securities, Haitong Securities and Soochow Securities have been placed on file for investigation. In just a few days, three brokerages were filed.

At the same time, there are a number of brokerages intensive "eat" tickets. Head brokerages, including China International Capital Corporation, CITIC Securities, Haitong Securities, Huatai Securities, Galaxy Securities, CITIC Construction Investment, China Merchants Securities and so on, have already had tickets.

Tian Lihui, dean of the Institute of Financial Development at Nankai University, said that these measures send a signal that regulators have a "zero tolerance" attitude towards capital market violations, emphasizing the maintenance of market order and the protection of investors' rights and interests. This will prompt securities firms to strengthen internal management, standardize business operations and improve service quality in order to cope with increasingly stringent regulatory requirements. It will help to improve market transparency and fairness, enhance investor confidence, and promote the long-term and stable development of the capital market.

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