Lixin has resumed its new securities business since August 10 - Finance News Like News Parenting Parenting News Parenting News Parenting News Parenting News Parenting News Parenting News Parenting News Parenting News Parenting News

News , release" ", Inform the letter of the verification of the situation and deal with the decision, agreed to Ericsson since 2017 From the recovery to undertake new Business, and asked Lixin to check the verification group found the problem of continuous, comprehensive and complete rectification. , Lixin in accordance with the accounting [2012] 2 document requirements, to the Ministry of Finance, the Commission submitted a written rectification plan, and in To the Ministry of Finance, the Commission submitted a written rectification report. The rectification report sorted out four cases (two of which have not yet been closed) in which Lixin has been investigated by securities regulators in recent years. Self-examination found the need for rectification of the 10 aspects of nearly 40 issues (involving internal governance, branch , Staff management, , Business management, information management, quality Etc.), and one by one description of the rectification of the completion of the situation and the need for continuous improvement in the next step. to , The Ministry of Finance, the Joint Inspection Commission against the letter General, Branch, Branch has been verified. During the verification process, members of the verification team reviewed 55 Lixin internal management systems and sampled more than 200 business agreements and sections of , The use of personnel interviews, data analysis, business sampling, physical pumping plate, statements and account testing, system simulation test and other methods to check Ericsson in the quality control and integration of the main management of the main , A total of 68 copies of the working papers were formed. After verification at the end of the field, the verification team has reviewed, sorted out and summarized the verification information. According to Accounting [2012] No. 2 and "Notice No. 24", the verification work is a targeted special verification rather than a comprehensive inspection of the rectification of the letter. Verification found that Ericsson since May 23 has been a comprehensive stop to undertake new securities business, self-examination found problems, through the adoption of strengthening , Revised and perfect the system, improve internal governance, correct violations, improve the management of branches and other measures were rectification. After verification, Ericsson has some problems in quality control and integrated management, and objectively constitutes the risk of dealing with the quality of confidant practice and internal management. It mainly includes: in terms of quality control, Lixin has been in the securities business , Quality control process records, signatures Regular rotation, quality of service , Standardized management and other aspects of the existence of certain shortcomings. In terms of integrated management, Ericsson is a partner Distribution, business classification management, unified management of business personnel, the implementation of technical standards, information systems design and operation, and so there are some shortcomings.