Wen | AI Caijing Xie Zexiang
Editor | Luming Literature
Nearly a year after the indecent dinner of Founder Securities, the regulatory authorities finally made a punishment.
On June 28th, China Securities Industry Association disclosed that Ma Jun, one of the participants in the indecent dinner, who was then the deputy director of Founder Securities Research Institute and the chief analyst of the communication Internet, had taken self-discipline measures, and planned to give Ma Jun the disciplinary punishment of canceling his practice certificate as a securities analyst and not accepting his application for practice registration for three years, and had fulfilled the prior notification procedure.
The penalty decision shows that Ma Jun, as a candidate analyst in the 16th New Fortune Best Analyst Selection Campaign, had a dinner with Jia Moumou and others who had the right to vote for New Fortune Best Analyst in a restaurant in Shenzhen on the evening of September 7th, 2118, and the dinner expenses were paid by Ma Jun; After being widely spread by the media, his improper words and deeds at dinner parties have caused bad social impact and seriously damaged the reputation of the industry.
The China Securities Association said that Ma Jun's behavior violated Articles 1 and 2 of the Code of Conduct for Securities Industry Practitioners, Article 18 of the Code of Conduct for Securities Analysts and Article 3 of the Notice on Strengthening the Management of Securities Analysts' Participation in Relevant Selection Activities, and the violation occurred when the China Securities Regulatory Commission and the China Securities Regulatory Commission repeatedly emphasized standardizing the practice of securities analysts and strengthening the management of securities analysts' integrity, which had a bad social impact and seriously damaged the reputation of the industry.
Time goes back to September 8th, last year. On the morning of that day, a photo and video of a brokerage dinner canvassing was posted on the Internet. Because the photo contained some indecent information, it was quickly pulled out by netizens. In the photo, the communication Internet team of Founder Securities appeared, led by Ma Jun, and its members included Zhang Jianmin, Song Hui and Liao Lei. At that time, it was at the selection stage of "Best Analyst of New Fortune", and there were people in the industry attending the dinner. Therefore, some netizens questioned that Ma Jun, Liao Lei and others were suspected of canvassing.
Founder Securities subsequently issued a document saying: The media reported that Ma Jun, an analyst and Liao Lei of Founder Securities Research Institute, participated in a party related to the new wealth voting, which had a bad influence. It was decided that Ma Jun, an analyst and Liao Lei of Founder Securities Research Institute would be suspended and a special investigation would be launched. Since then, the Ma Jun team has been disqualified from participating in the selection of the best analyst of New Fortune that year; At the same time, the relevant voters will be disqualified from voting in the selection of the best analyst of New Fortune.
this incident also directly led to the cancellation of the new wealth selection last year. On the evening of September 21, 2118, New Fortune said that due to unexpected reasons, New Fortune decided to suspend the voting for the best analyst of New Fortune in 2118.
Sensitive Dinner
Back on September 7th, 2118, Ma Jun took his team to a party related to canvassing new wealth. During the party, Ma Jun had intimate behavior with a man, and another female member of the team also cuddled with the man. The video flowed out the next day, which was quite controversial. Some netizens questioned that Ma Jun and others were suspected of canvassing in the selection of the best analyst of New Fortune.
at 1: 31 pm on September 8th, Weibo, the official of New Fortune magazine, issued a notice saying that Ma Jun of Founder Securities Communication Group was disqualified from participating in the selection of the best analyst of New Fortune. At the same time, the relevant voters will be disqualified from voting in the selection of the best analyst of New Fortune.
After the incident, AI Finance and Economics immediately called Ma Jun of Founder Securities Communication Group, and Ma Jun responded: "I saw the video, and the rivers and lakes are sinister." Then hang up the phone.
after the incident, AI Finance and Economics contacted Liao Lei, one of the people involved, to verify the dinner last night. She said that last night's dinner was invited by Ma Jun, the leader, and most of the other participants were secretaries of listed companies and securities agents. Moreover, she and the participants are in the same WeChat group of more than 211 people. Previously, group friends often discussed topics such as tourism, and she also participated in offline dinners organized by group friends.
It is understood that Liao Lei holds a bachelor's degree in mechanical manufacturing in Tsinghua University and a master's degree in mechanical engineering in Tsinghua University. After joining Founder Securities Communication Internet Team, she and her team won the fourth place in the new wealth selection in 2116 and the second place in the team in 2117.
According to Sina Finance, on April 7, 2116, Liao Lei, an employee of Founder Securities Research Institute, wore Hanfu in the name of the company and recommended ZTE shares to investors through video broadcast. Hunan Securities Regulatory Bureau adopted the supervision measures of issuing warning letters to Fangzheng Securities.
In the videos and photos circulated on the Internet, she has close physical contact with the opposite sex Liu Fengyuan. Ten years ago, Liu Fengyuan was the investment director of Baoying Fund, and then went to sea to run a small private equity institution.
Liao Lei told AI Finance and Economics that she wasn't playing games, just chatting. "These physical contact at ordinary times, may drink too much after everyone's action will be more open. But it is true that, first of all, I didn't pay attention to my movements, especially after drinking, I was dizzy. Now let me think back to that paragraph (scene), I can't remember it very well. "
"I, myself, get along with boys as buddies. This is not an excuse at work. Such action mistakes were taken by people with ulterior motives. " Liao Lei made a self-reflection, but she insisted on being clear-minded. It was rumored on the Internet that she and her team accepted the hidden rules for canvassing, which was "untenable".
Subsequently, Founder Securities Co., Ltd. issued a red-headed document, announcing that Ma Jun and Liao Lei were immediately suspended and accepted a special investigation by the company. According to the investigation results, they were strictly accountable. The Hunan Securities Regulatory Bureau also sent a letter to Ma Jun, and took measures to supervise Ma Jun..
A few months later, in October 2119, Liao Lei, who had been silent for a long time, announced on social media that she had joined Vista Jiajie, a listed company in Hong Kong.
Analysts selected a market-oriented analyst ranking sponsored by New Fortune by "New Fortune Carp yue longmen
New Fortune Best Analyst", which has been held for fifteen times since the first selection in 2113. The selection adopts the method recommended by brokers to determine the candidate list; The voting method of selecting voters to fill in the selection questionnaire is adopted, and the voting results of all parties are summarized according to a certain weight to produce a series of awards such as "Best Analyst of New Fortune" and "Best Sales and Service Team of New Fortune".
The new wealth selection held every autumn is a large vanity fair in the financial industry. The specific selection rules are to let institutional investors such as fund companies and asset management companies vote to select the rankings of research capabilities and service levels of various industries of brokerage research institutes.
This selection did not attract the attention of brokerage companies at first. In 2116, CITIC Securities began to recruit analysts according to the ranking list of new wealth analysts, which made this selection more and more valued, forming a hidden rule that the salary level of analysts was linked to the ranking of new wealth.
winning this award, especially the first place in the top list, not only doubled the income, but also made you more confident in job-hopping. Some brokers said that there are only three kinds of analysts in the industry, new wealth comes first, new wealth is on the list, and new wealth is not on the list.
there have been rumors in the industry that excluding the year-end bonus and other commission income, the basic salary of the first place in New Fortune is 5 million yuan per year, the second place is 3-4 million yuan, the third place is 1-2 million yuan, and the top five is about 1 million yuan. Ma Jun, the person involved in the video, won the second place in the communication industry in the 15th new wealth list and the fourth place in the 14th.
official website, a new fortune, also disclosed that in 2111, the best analyst of New Fortune was even included in the criteria for identifying local leaders/reserve high-level talents.
In September 2118, before the selection of new wealth started, China Securities Industry Association issued the Notice on Strengthening the Management of Securities Analysts' Participation in Relevant Selection Activities, which stated that "it is strictly forbidden for securities analysts, research and sales personnel to publish or send canvassing information in various forms, including but not limited to publishing canvassing information on WeChat group, WeChat circle of friends and other self-media or sending it by mail".
The finger is directed at the new wealth selection activities with frequent chaos. Some media said that this is the first time that the regulatory authorities issued a formal notice to the analyst selection activities.
before this, the new wealth selection also made a lot of jokes. According to Caixin. com, on September 11, 2116, several small and medium-sized analysts of China Merchants Securities published a 72-page research report "Gifts at the Beginning of the School Year-A Full Interpretation of Shanghai's Young Students' Promotion to Primary School and Junior Students' Promotion to Primary School", but no stocks were found in the whole article, which is a pure guide to further education. This move was interpreted by the market as pleasing the mothers of Shanghai's public and private equity industries, and it was a disguised canvassing for the selection of new wealth.
In addition to China Merchants Securities, the computer team of Industrial Securities compiled and directed the micro-film My Overbearing Goddess during the new wealth canvassing in 2117. The lyrics of the "Song of Haitong Cycle" created by Haitong Securities Cycle Team are even more straightforward, saying that "new wealth is the first way forward".
In September, 2117, Sun Mingxin, an analyst of changjiang securities Building Materials Team who participated in the selection of new wealth in that year, posted several personal photo photos in the circle of friends on WeChat, although he later clarified that the move was purely a personal life record and had no canvassing direction. However, changjiang securities still informed internally that no more canvassing is allowed, and no more friends who have nothing to do with work are allowed. Once found, they will all be retired.