The transaction system upgrade and return plan is incomplete.

Zhongxin Jingwei, September 8th. Due to the existence of trading system design and upgrades, unprecedented argumentation and testing, and incomplete regression plan, China Merchants Securities Co., Ltd. received a supervision letter issued by the Shenzhen Stock Exchange on the 8th.

Source: Screenshot of the Shenzhen Stock Exchange website

The regulatory letter mentioned that on May 16, 2022, a technical failure occurred in the centralized trading system of China Merchants Securities, causing some customers to log in to the transaction app blocking delay. After investigation, China Merchants Securities has problems in the aforementioned incident design and upgrades that have not been fully demonstrated and tested, and incomplete regression programs, which reflect their internal management vulnerabilities.

The Shenzhen Stock Exchange pointed out that the above behavior violated Article 9.6 of the "Member Management Rules" and the relevant provisions of Article 9 of Member Management Business Guidelines -Member Transactions and Related System Management.

At the same time, Hu Tao is the assistant to the company's president and chief digital officer, and the co -management information technology work. Deng Shuguang is the director of the company's fintech center, and Chen Zhuo is the general manager of the company's core transaction development department of the company's fintech center, and is responsible for related issues.

According to the relevant provisions of the Shenzhen Stock Exchange's "Member Management Rules" and "Member Management Business Guidelines No. 2 -Supervision of Member Violations", the Shenzhen Stock Exchange has taken self -discipline supervision measures for China Merchants Securities and Hu Tao, Deng Shuguang, and Chen Zhuo.

In addition, the Shenzhen Stock Exchange requires that China Merchants Securities and relevant personnel should attach great importance to this, take effective measures to take effective measures for violations of regulations, further strengthen the overall planning of important information system construction, strengthen changes and operation and maintenance management, improve the emergency response mechanism, ensure information to ensure information The system is safe and smooth.

China Merchants Securities received a warning letter from the CSRC due to the CSRC on May 16.

On July 12th, the CSRC issued a decision on taking a warning measure on China Merchants Securities, and issued a decision on taking a warning measures for Hu Tao, Deng Shuguang, and Chen Zhuo:

After investigation, the CSRC found that China Merchants Securities had system design and upgraded changes in the network security incident on May 16, 2022, without sufficient demonstration and testing, and incomplete upgrades of upgrading the recovery plan, which reflected that the company's internal management of the company had loopholes in loopholes The incomplete authority distribution mechanism.

Hu Tao is the assistant and chief digital official of China Merchants Securities, and the co -management information technology work. Deng Shuguang, as the director of China Merchants Securities Fintech Center, is the general manager of the core trading and development department of China Merchants Securities Fintech Center, and is responsible for related issues.

This is not the first time that China Merchants Securities has been unable to log in this year. On March 14, China Merchants Securities had "collapsed". After the start of the morning on March 14, some netizens successively reported on the social platform to report system failures in the investment securities trading system, including the inability to transaction or withdrawal. Subsequently, "China Merchants Securities collapsed" on Weibo.

In early April, China Merchants Securities had taken administrative regulatory measures by the Shenzhen Securities Regulatory Bureau due to incomplete management of changes in the cyber security incident on March 14, 2022, inadequate emergency disposal, inadequate emergency disposal, and inadequate in place.

According to the company's official website information, China Merchants Securities Co., Ltd. is a securities company under the century -old China Merchants Group. China Merchants Securities first publicly issued A shares in November 2009 and listed on the main board of the Shanghai Stock Exchange. In October 2016, it was first publicly issued by H shares and listed on the main board of the Hong Kong Stock Exchange.

In the secondary market, China Merchants Securities performed poorly in the A -share and H -share market in 2022. According to the same flowers of the same flower, China Merchants Securities A shares and H shares prices have fallen 24.31%and 40.20%during the year. As of the close of the 8th, China Merchants Securities A shares reported 13.36 yuan/share, an increase of 0.07%. (Zhongxin Jingwei APP)

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