CITIC Securities was ordered to rectify by Shenzhen Securities Regulatory Bureau. The problems of CITIC Securities are as follows: 1. The internal risk control of private equity fund custody business is not perfect. 2. Some IPO sponsored projects are of low quality, and the information disclosure is insufficient and inaccurate. 3. The time and method agreed in the contract to provide customers with notice of asset changes is not in place. ?

CITIC Securities, as one of the leading enterprises in the brokerage industry, has been changed by the name of the Securities Regulatory Bureau, which has attracted many people's attention. As the largest brokerage in the industry, CITIC Securities was awarded to informed criticism, which shows that the problem is still serious. The main problems of CITIC Securities are that the risk control is not strict enough, the quality of sponsored projects is not high, and the customer's assets are not notified at the first time. These problems mainly reflect that the work is not done in place, resulting in a relatively large capital risk, which is also the reason why Shenzhen Securities Regulatory Bureau ordered rectification.

first, the internal risk control of private equity fund custody business is not perfect.

Many businesses of securities firms are related to private equity funds, because with the continuous development of the capital market, more and more private placements have been established. As the core of private placement, if securities firms do not pay attention to risk control, this may lead to a lot of disputes and serious losses. Shenzhen Securities Regulatory Bureau found that their internal risk control is not perfect, and there may be a big loophole, so it ordered them to make rectification in advance.

second, the quality of some IPO sponsored projects is not high.

Many new shares are listed under the sponsorship of brokers, and CITIC Securities has a very high position as a leader in the industry. The Shenzhen Securities Regulatory Bureau found that some projects sponsored by initial public offerings are of poor quality, and the information disclosure is insufficient and inaccurate. This is disastrous news. These are the most basic businesses. If they are not well done and there are problems, it is normal for CITIC evidence to be named and rectified.

third, the notice of changes in customer assets is not in place.

As a customer of a securities company, he is his own god. According to the contract, the customer should be contacted and reported every quarter when the customer's assets change. However, CITIC Securities failed to implement it in place and many of them did not notify him, which may lead to disputes, which is also the reason why Shenzhen Securities Regulatory Bureau ordered rectification.