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As of2013year11month2Day,ANew stock market has been listed for a full year. atIPOThis year when the project is temporarily stopped，Ping An Securities has encountered one year in history & rdquo;。

Sumulating projects frequently expose scandals

2011At the end of the year，Ping An Securities is due to Shengjing Mountain River Project，Alert letter from the Securities Regulatory Commission。2013year3Month, Wanfu Shengke, who is recommended by Ping AnIPOFalse cases are crusade by the market，At the same time，Hylogenesis, which was exposed to its sponsor, was suspected of financial fraud，Case by the CSRC。2013year10Month, its sponsor Qiusheng Resources was in the Securities Regulatory Commission inIPOSpecial financial examination found suspected financial fraud，and being transferred to the audit department。Not only that，According to the same flowersiFindStatistics show that Ping An Securities has sponsored in the past four yearsIPOMiddle，Nearly half of the projects have appeared on the market, that is, the performance changes in performance。IPOThe project repeatedly trapped the financial fraud scandal、Questions about financial fraud and performance changes，Summit quality is really impressive。Also because of this，Ping An Securities was named & ldquo; QuestionIPOFactory & rdquo; and the securities bet365 Play online games market & ldquo; Sanlu milk powder & rdquo;。

Ping An Securities Investment Bank once talents，It is a talented team with a very heavy talent team in Ping An Securities，But now all parties are scattered。According to the statistics of the same flower Shunshun data，Ping An Securities2011The number of people who run away from the year is39People,2012Year is31People,2013Year is4People。The continuous leaving of Baodai for Ping An Securities, known for its investment banking business，It can be said that it is a salary at the bottom of the kettle。

To make up for its negligence in the Wanfu Shengke case，Effectively performing responsibility，5month11Day, Ping An Securities announced its capital3Established a special fund，Investors who are eligible for qualified investors suffer from investment loss due to false statements of Wanfu Shengke，As of2013year7month3Day, I have paid1.79100 million yuan compensation fee。Establish compensation fund，釆 Take the first compensation and then chase method，Eligible investors with fund property permits，Coupled with the main responsible party and joint responsible party，This is the first time in the history of Chinese securities。

The results of the securities company's classification are the evaluation of the overall level of the securities company's compliance management and risk control of securities companies。201216169_16189AALevel drop toALevel.2013year7month，The classification results of the securities company released by the Securities Bet365 app download Regulatory Commission，Ping An Securities is again due to the fake case of Wanfu Shengke，Brokerage rating directly fromASettle toC ，Packed as the industry's lowest level with Minsheng Securities。The future of Ping An SecuritiesIPOProject contract, bringing very large reputation.

2013year10month14On the day, Ping An Securities is recommended for Wanfu ShengkeIPOIn the process，Failure to fulfill diligence to fulfill the statutory responsibility，The sponsor issued issued with false records，and officially received the most severe punishment notice from the China Securities Regulatory Commission, which is called by the China Securities Regulatory Commission.。The Securities Regulatory Commission ordered Ping An Securities to correct illegal acts，Give warning，Confisca business income255510,000 yuan, and in order5110Wan 10,000 yuan fine, suspend the sponsor business permit3Punishment of a month。The ticket is called the top fines issued by the Securities Regulatory Commission.。

Excessive shortness and internal control are not strict

Why a familyIPOThe quality problems of the investment banks that have been listed for the top for several consecutive years are frequent，And the accomplice as the accomplice of financial fraud and the securities market & ldquo; tumor & rdquo;? Facing accusations，Ping An Securities publicly acknowledged that internal control is not tight，Skills are not as good as people。Carefully analyze the internal control of Ping An Securities，We found that the problem is frequent，Bet365 lotto review It is mainly based on the following reasons。

First is the strategic goal of the maximum channel income。Corporate strategic goals to correctly guide the healthy development of enterprises、Effectively achieve the internal control target to play a basic role。The formulation of the strategic goals of securities companies to undertake the sponsor project、Risk recognition and process design、Planning of human resources and internal supervision，All play an important role。2009yearIPOrestart，Provided great development opportunities for the investment banking business of the securities company。For this，Ping An Securities will compete for channel resources as its main strategic goal。The company will focus on the number of pursuit of sponsor projects，The competitive strategy has more typical & ldquo; contractor head & rdquo; and & ldquo; production team & rdquo; features。To maximize the pursuit of short -term interests，Sumulars often have multiple projects，Some people even take care of both6& mdash;7Home Company，Make the sponsor without sufficient time according to the quality control program，Performing responsibilities carefully。This brings the number of sponsors all the way to Ping An Securities (4Annual Recommended Reception100Home)，At the same time, it also laid deep hidden dangers for future sponsors' quality problems。

Second, the human resources policy of allocating the resources of Bao Daibian resources in the company。Bet365 app download Human resources, especially the quality of employees of key positions，It is important for the performance of the internal control effect。The business of the sponsors of the securities company is competent、Professional ethics，The quality of the sponsor directly affects the quality of the sponsor。Effective use of human resources is a powerful guarantee for the achievement of internal control targets。Driver due to interests，Ping An Securities adopts human resources policies that allocate the company's deployment of Bao Dai resources，That is, when a project needs to be signed for signature，Temporary assignment of Bao Dai in the entire company。This often causes the signature Bao Dai is not the real project，They may not be familiar with the business of listed companies，No professional ability。He Tao, a sponsor in the Wanfu Shengke case, and Cui Ling, head of Ping An Securities Investment Banking Department，Because of this & ldquo; lying on the shot & rdquo;。He Tao has been working in the fixed income department of Ping An Securities for a long time，During Wanfu Shengke's item to the final listing period，Cui Ling is just the general manager of Shanghai Branch under the investment banking department。The two are in Wanfu ShengkeIPOSignature on the project，It is a temporary arrangement for leaders，They are completely unfamiliar with the business situation of Wanfu Shengke，Not to mention effective performance and play a risk prevention and control effect，Quality Clear & Bet365 lotto review ldquo; Go form & rdquo; become inevitable。

Third is a due diligence for some key inspections.。Dye duty is the most basic and important link in the entire sponsor business，Also the sponsor to fully understand the issuer、Evaluation risk、Important means of implementing risk control。Whether it is efficient、Accurate、Complete due diligence，Directly determine the quality of the sponsor project。Dyedon investigation of sponsor project requires that the project team members have the ability to use professional knowledge and rich securities market experience，Make a comprehensive to the issuer's operation and risks and problems.、Accurate、Independent judgment。The investigation team of Wanfu Sheng Sciences of the CSRC，During the due diligence,，Ping An Securities fails to follow the requirements of due diligence，Comprehensive prudent verification and independent judgment of the financial status during the reporting period of Wanfu Shengke、The authenticity of financial data，Without sufficient due diligence evidence，Make a sponsor commitment。

(Author Unit: School of Accounting, Jiangxi University of Finance and Economics)

    Please indicate the source:China Social Science Online