The Shenzhen Securities Regulatory Bureau revealed that after investigation, Shenzhen Zhongjin Lingnan Futures Co., Ltd. has problems such as individual practitioners adjusting customers not developed by intermediaries to the name of intermediaries and receiving commission shares from intermediaries to provide anti-money laundering and account opening questionnaire answers for some customers; failure to effectively monitor the market development behavior of practitioners, inadequate management systems for related marketing activities; and inadequate risk monitoring. The Shenzhen Securities Regulatory Bureau decided to adopt supervisory and management measures to order corrections against the company, and required that the company should effectively rectify, establish and continuously improve an internal control system covering all businesses, strengthen compliance risk monitoring of employees, marketing activities, and asset management operations, effectively safeguard the legitimate rights and interests of traders, and submit a rectification report to the supervision within 30 days from the date of receipt of the decision.

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