Beijing Business Daily (Reporter Liu Yuyang and Hao Yan) April 26PokerofflineThe China Securities Regulatory Commission issued a paper to put forward five feedback opinions on Guoyuan Securities (000728)'s application for market-making and trading qualifications of listed securities.

Specifically, Guoyuan Securities is required to provide the company's board of directors to examine and approve the text of the "proposal on the Company's Application for Market-making Business qualification of listed Securities and engaging in the Market-making Business of Science and Technology Innovation Board and the North Stock Exchange" in August 2023; in the implementation plan of the market-making business of listed securities, further clarify the screening criteria of market-making targets and the principles of the composition of the market-making business audit team, and solidify them in the relevant system.

At the same time, the China Securities Regulatory Commission asked Guoyuan Securities to supplement the hierarchical authorization of the management decision-making system of the company's board of directors, executive committee, proprietary business committee, assets and liabilities committee-market-making business audit group-market-making business department. It also demonstrates whether the existing work of senior executives and the market-making and trading business of listed securities are in line with the Securities Law that "securities companies must separate their securities brokerage business, securities underwriting business, securities self-management business, securities market-making business and securities asset management business, no mixed operation".

In addition, the China Securities Regulatory Commission requires Guoyuan Securities to supplement the development of the new third board market-making business of the market-making business department. It also explains whether the department manager, investment manager, market-making trading post, market-making research post, compliance management post, risk management post and technical support post and other posts and personnel distinguish teams according to different market-making business, or whether they are engaged in listed securities and new third-board market-making business at the same time. And to supplement the audited consolidated financial statements of Anhui Guoyuan Financial holding Group Co., Ltd., the controlling shareholder, in 2023.