Second, customer rights and interests are not adequately protected. China Cinda Securities' handling of complaints and reports was perfunctory; the process and system for handling complaints and reports did not match; the company's headquarters failed to uniformly manage investor complaints in accordance with system requirements, and did not have sufficient knowledge of complaints from branches.
Third, personnel management is not in place. Cinda Securities has not established a monitoring system for employees' illegal stock trading, and the timeliness and effectiveness of monitoring to prevent employees from illegal stock trading is insufficient.
Prior to this, the Hebei Securities Regulatory Bureau disclosed on australia phone number list December 4 that employees of the Cinda Securities branch were subject to administrative supervision measures by issuing warning letters. Upon investigation, it was found that Yu Runjie, an employee of the Hebei Branch of China Cinda Securities, handled securities transactions for clients and returned commissions to clients. In recent years, the company has been fined for this reason many times.