Beijing Business News (Reporter Li Haiyuan) On April 30, the Xinjiang Securities Regulatory Bureau issued a document stating that after investigation, the Urumqi Youhao North Road Securities Business Department (hereinafter referred to as the "Business Department") of Haitong Securities (600837) Co., Ltd. hadplayouwincasinoOthers have provided convenience in using the client's relevant securities account; failed to reassess the client's risk tolerance in a timely manner, and provided financing extension services that did not match the investor's current risk tolerance. Miao Miao was directly involved in the above-mentioned violations and was responsible during her tenure in the sales department.

The above-mentioned behaviors violate relevant regulations. In accordance with relevant regulations, the Xinjiang Securities Regulatory Bureau decided to take administrative supervision measures to issue warning letters against the sales department and Miao, and record them in the securities and futures market integrity files. At the same time, the sales department is required to attach great importance to the above issues and in accordance with relevant laws and regulations require continuous strengthening of compliance internal control management and investor appropriateness management, and submit written rectification reports.