In the first half of the year, over 200 fines were received; industry insiders: the compliance and risk control capabilities of securities firms need to be improved

Wallstreetcn
2025.07.03 22:05

Data shows that in the first half of 2025, a total of 64 securities firms received more than 200 fines issued by regulatory authorities. Multiple penalties for a single case and heavy fines have gradually formed a regulatory ecosystem characterized by penetrating and full-chain penalties. Journalists have found that violations by practitioners in stock trading continue to occur despite repeated bans, and violations in investment banking services are still frequent. Industry insiders believe that regulatory authorities maintain a high-pressure stance against various illegal and irregular behaviors, aiming to safeguard the healthy development of the capital market. Against the backdrop of strict supervision and management, securities firms urgently need to enhance their compliance and risk control capabilities. (Shanghai Securities Journal)

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