Last week, the financial sector totaled 90.91 million yuan, East Asia Bank leads the biggest ticket, the agricultural bank, the pre-discovery of the agricultural banks were fined for life to prohibit the industry 丨 丨 金 金 报 (seventh)2022-01-19 06:04:12 50 ℃
The 21st Century Data Institute displays 599 penalty orders in the financial supervision field in the financial supervision of the financial supervision in the financial regulatory field. The Silver Bank of China, the Securities Regulatory Commission, the Exchange, the Silver Insurance Regulatory Commission and the police station open 323 penalties, the total penalty amount is 49.039 million yuan; the central bank and the police station open 52 punishments, the total penalty amount is 285.7.36 million yuan, the SFC And the police station opened 111 penalties, the penalty amount was 132.692 million yuan. The Bank of China and the disposal of the penalty commissions and the amount of punishment are more than half of the penalty, the central bank and the police station have a penalty penalty.
From the main body of being punished, the bank received 241 punishments last week, with a total amount of 65.579 million yuan; the insurance institution received a total of 111 penalties, the total fines were fined 105.24 million; the securities industry (including securities / fund / fund / trade, etc., The following) and the securities issuance consumption of 199 bills shall be charged by a total of 132.992 million yuan.
Guangdong Securities Regulatory Bureau opened the most central bank Shanghai branch penalty amount
From the distribution of tickets from the ticket (statistics with local regulatory authorities), the total number of tickets opened last week, a total of 32 punishments were opened. Secondly, the Xuzhou Silver Insurance Branch has opened 16 punishments. The third is the Zhejiang Securities Regulatory Bureau, the Beijing Securities Regulatory Bureau and the Suzhou Silver Warranty Branch, all over 15 punishments.
From the perspective of the penalty opened from different processing agencies, the central bank's Shanghai branch penalty is the greatest, and the penalty is 19.39 million; secondly, the China Securities Regulatory Commission, the total penalty of 132.692 million yuan, the central bank Shenyang branch followed, The penalty is 34.66 million yuan.
From the number of different penalties, the number of banks received the highest, the total number of people were collisted, and the 241 penalty will, followed by the issuer, leading 182 punishments, and the insurance institution 111 penalty penalty is the third. In terms of penalties, banks are seized in terms of the first, publisher and insurance institutions, respectively, the issuer and the insurance institution penalty, respectively, the amount of punishment of 65.95.79 million yuan.
Last week, the bank was taken to be a fine, a total of 124 punishments, followed by warning, 69 punishments, fine, warned tickets, three3 punishments.
Last week, the issuer was taken to the most punishment measures, followed by the report criticism, the third is the supervision. The number of tickets opened by the three is 74, 48, 30, respectively.
After the penalty of the penalty is not in place, the credit fund is misappropriated.
In terms of violations, the last week's banking industry was punished for performing responsibilities according to law, and there was a loan review of loans and imprisonment. After the loan management is not in place, the loan use control is not in place, and the credit fund is misappropriated, The area of misappropriation is real estate. The company governance, the penalty of the related party transactions, including related parties transactions better than non-commissioned parties with similar trading conditions, the associated transactions have not been approved by regulatory requirements, issuing non-guaranteed loans to related parties, related parties to the contributor credits, and The shareholder has exceeded the net value of the Bank of the Bank, which still agreed that the shareholder will pledge the equity of the equity. In addition, the group's credit management is not in place, and the grant concentration exceeds the standard ticket is also a lot.
Last week's securities industry and issuers were punished by the person who was still in accordance with the law, there were 115 punishments, including 44 penalties involved related transactions, including concealing relationships, unproved association transactions, associations, related parties The transaction did not review the disclosure in time. Associated trading is often important concealment for hollow listed companies, and the supervision of the concerns and punishments of related transactions have increased significantly. The number of penalties, which did not disclose the company's major incidents for the number of tickets, including the pledge, foreign guarantee, controlling shareholder shares, were not promptly disclosed.
Last week, the number of tickets in the agricultural banks was the largest, followed by the ICBC.
From the banking agency punishment, the number of people receiving the number of tickets last week was the Agricultural Bank. After receiving the 14 punishments last week, the ICBC, the last week's ticket was 9, and the Minsheng Bank received 8 prifted by 8 prifted last week. third. The Agricultural Bank not only fines the number, but there has been a case where the former employee frauds millions during his tenure, Wang Wenhui, Cold Fuguang, due to the death of the Agricultural Bank's Changchun Jiudi, was sent to the banking work. Li Tiezi, a president of Changchun, China Agricultural Bank Co., Ltd., is warned by the direct responsibility of the employee management of the institution. The ticket information released earlier on January 5 shows that the Nine Branch of the Agricultural Bank Changchun is fined 1 million due to the employee management.
Court Verdict network verdict shows that the cold light blessing during November 2017 to October 2018, a total of 65 fraud victims Hao Mou et al totaling 5.649 million yuan. Wang will be served during the Agricultural Bank of China branch in Changchun Jiutai Fangniugou branch account manager, in 2015 and 2018, in the case of an unauthorized bank, lender fiction collection, and also the fact that the loan , hiding the truth will use the money privately, many times from the hands of defrauding the lender for repayment of the loan principal and interest, totaling 3.6769 million yuan, resulting in a loan can not be recovered, because the lender fails to repay the loan was included in the Bank credit blacklist. Because of committing fraud and deception, Wang will be sentenced to two years and fined 500,000 yuan. Cold light Fu was sentenced to ten years imprisonment and fined one million yuan, and ordered restitution of the victim economic loss. In terms of fines ordered last week, total fines of up to Bank of East Asia (China) Limited, last week was fined a total of 16.74 million yuan, Industrial and Commercial Bank fined a total of 6.011 million yuan ranked second. Kunlun Bank was fined a total of 2.69 million yuan in third.
Last week, Bank of East Asia's largest ticket collar
Bank of East Asia (China) Co., Ltd. up to a total amount of punishment is mainly due to last week received the largest fines a ticket, for "violation of credit information collection, provision, inquiries and related regulations" was fined 16.74 million at the People's Bank Shanghai Branch yuan and ordered to make corrections. According to China Insurance Regulatory Commission issued silver "consumer complaints about banking in the third quarter of 2021 Bulletin", 2021 third quarter, Bank of East Asia, the volume of complaints ranked first locally incorporated foreign banks, in particular business, credit card business volume of complaints BEA bit The first column of foreign banks.
Although the People's Bank of China Shanghai Branch did not disclose the specific business violations, but the previous penalty of view, Bank of Communications and responsible person Bank Shen Yi Dong Pacific Credit Card Center for Risk Management and Control Department of operational risk management team manager, senior integrated management consultant in August last year breaching the credit information collection, provision, inquiries and related regulations are subject to heavy penalties the people's Bank, China Zheshang Bank and Zhejiang bank credit card department responsible people in October last year also breaching the credit information collection, provision, inquiries and relevant regulations people's Bank is subject to heavy penalties. Visible is a violation of the credit card business credit information collection, provision, violations of the provisions related inquiries and manage multiple business areas.
The People's Bank of breach of credit information collection, provision, penalties for violations of the provisions of the relevant management and query very large, in addition to the Bank of East Asia (China) Co., Ltd. out of 16.74 million yuan of large fines, but in January 5, Bank of Beijing Co., Ltd. Shanghai branch also for breach of credit information collection, provision, inquiries and related regulations is liable to a fine of 2.55 million people's Bank of China Shanghai branch. Huaxia Bank last August for violating credit information collection, provision, inquiries and relevant regulations and was fined 4.84 million yuan.
The People's Bank issued "credit business management approach" and last year announced that from January 1, 2022 into effect. According to "credit business management approach", "collect personal credit information, should take legal and legitimate way, to follow the minimum necessary principle, not over-harvesting.", "Information users should take the necessary measures to protect personal inquiry agreed to acquire credit information when the information of the body and the use of personal credit information in accordance with the agreed purpose. "
Last week, the financial sector's second-largest ticket wins the manipulation of stock, disclosed last week, Jin Xinnong Zhoushan Dacheng shareholders equity investment partnership Hin agricultural holding more than 5% (limited partnership) (hereinafter referred to as "the culmination of Yan farmers") and with employers sinus Xiaoyu manipulation Notice company's stock price to be punished, investigation, between 20 August 2018 to February 2019 22 period, the culmination of Yan agriculture, sinus Xiaoyu concentration of funds, stocks, through continuous trading in the account of their actual control means transactions carried out between impact "Jin Xinnong" transaction price and trading volume. Calculated, account group total profit 13,069,200 yuan. Commission confiscate the illegal income 13,069,200 yuan, and impose a fine equal by Yan Dacheng agriculture, sinus Xiaoyu each bear 13,069,200 yuan.
Last week, ICBC Liaoning Branch led the third largest ticket because the penalties are involved in providing credit information in violation of the relevant provisions of inquiry, in addition, also involve violations of anti-money laundering law and violations of consumer financial rights protection system construction, consumer financial information and other relevant regulations to protect, finance and marketing promotion.
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