1. failed to perform its duties prudently and fully understand the situation of investors.
2. In the process of margin financing and securities lending business, it is convenient for customers to engage in unfair trading activities such as avoiding bidding.
3. There are some problems in the business department, such as the company system is not strictly implemented, the management of brokers is not in place, the employees engaged in futures intermediary business do not have futures business qualifications, and the comprehensive management is insufficient, which reflects the imperfect internal control of the business department.