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Caixin Global
Caixin Global
Business
Han Wei

Top Investment Bank CICC Warned by Regulator for Compliance Flaws

CICC

What’s new: China International Capital Corp. Ltd. (CICC) (601995.SH), China’s leading investment bank, has been hit by a regulatory warning from securities authorities on irregularities in investment and business operations.

CICC is accused of breaching industry rules for hiring personnel who do not have the required qualifications to carry out related securities business, according to a notice published by the Beijing municipal bureau of the China Securities Regulatory Commission (CSRC).

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