Sinolink Securities Co., Ltd. controversies
Controversies tied to this brand in public sources. A listing is not a finding of fault.
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2024
Warning for Inadequate On-Site Supervision of Luopute IPO
In September 2024, the Xiamen Securities Regulatory Bureau issued warning letters to Sinolink Securities and its sponsoring representatives, citing failure to perform due diligence in the continuous supervision of Luopute, inadequate on-site inspections, and inaccurate conclusions in its reports.
2024
Warning Letter to Wholly-Owned Asset Management Subsidiary Over Information Disclosure Management Issues
In May 2024, the Ningbo Securities Regulatory Bureau issued a warning letter to Sinolink Asset Management, a wholly-owned subsidiary of Sinolink Securities, concerning information disclosure management. This entry is explicitly a regulatory event involving the asset management subsidiary.
2022
Shenzhen Branch Warned for Compliance Staff Holding Concurrent Roles and Inadequate Marketing and Account Monitoring
In May 2022, the Shenzhen Securities Regulatory Bureau issued a warning letter to the Shenzhen Branch and Futian Business Department of Sinolink Securities, citing compliance officers concurrently serving as operations heads, insufficient management of marketing personnel, and inadequate monitoring of abnormal account transactions.