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Major Deficiencies

Main Content
Corporate Finance
Securities Firms
The Common Violation Patterns of Securities Firms (update:2019-08-27 , pdf)
Securities Trading
1. The frequently found cases in breach of regulation of shares repurchase by listed companies (update:2019-08-28 , pdf)
2. The frequently found cases in breach of regulation of Public Tender Offer (update:2019-08-28 , pdf)
3. The common violation pattern summary of insiders' ex-ante and ex-post filing of share transferring and shareholdings movement, and the use of proxies for attendance at shareholder meetings (Chinese version only. update:2019-08-28 , pdf)
4. The common violation pattern summary of the reporting acquisition of shareholdings in large blocks (Chinese version only. update:2019-08-28 , pdf)
Securities Investment Trust and Consulting
1.Significant Failures of Securities Investment Trust Enterprises (Chinese version only. update:2019-08-27 , odt)
2.Significant Failures of Securities Investment Consulting Enterprises (Chinese version only. update:2019-08-27 , odt)
Accounting and Auditing Supervision
1.Summary of common violations of Financial Reports of Listed Companies in 2018  (update:2019-08-28 , odt, pdf)
2. Summary of common violations by CPA on auditing financial reports. (Chinese version only, update:2019-08-28 , pdf)
3. Summary of common violations on loaning of funds and making endorsements/Guarantees of public companies. (Chinese version only, update:2019-08-28 , pdf)
4. Summary of common violations of Internal Control of Listed Companies (update:2019-08-28 , pdf)
Futures Trading
Futures Enterprise Failures in Internal Control (Chinese version only. update:2019-08-19 , pdf) 
Visitor: 5194   Update: 2020-10-13