天风证券遭证监会顶格处罚、前董事长被终身禁 入，罚单刚出再被立案 上述处罚落地之际，天风证券再被立案。据当日晚间公告，该公司涉嫌福建省永安林业(集团) 股份有限公司持股变动信息披露违法违规。 资料图。本文来源：澎湃新闻 顶格处罚+前董事长终身禁入 证监会顶格处罚刚出，天风证券股份有限公司（天风证券，601162.SH）再被立案。 2月13日晚间，证监会披露，针对天风证券为武汉当代科技产业集团股份有限公司（下称"当代 集团"）涉嫌违法提供融资及信息披露违法违规的行为，湖北证监局拟对天风证券和当代集团合 计处以2500万元的顶格罚款，9名相关责任人被罚款合计3480万元。同时，当代集团实际控制 人艾路明，天风证券时任董事长余磊、时任副总裁兼财务总监许欣被采取终身证券市场禁入措 施。 据证监会网站披露，近日，证监会对天风证券为当代集团涉嫌违法提供融资及信息披露违法违 规行为作出行政处罚及市场禁入事先告知。 经查，2020年至2022年期间，天风证券违法为原第一大股东当代集团提供融资、未按规定披露 与当代集团关联交易，当代集团与天风证券共同实施相关违法行为，严重违反证券法律法规。 湖北证监局拟依法对 天风证券和当代集 ...

来源：智通财经 天风证券头悬的达摩克利斯之剑终于落地。 2月13日，天风证券连发三份公告披露多项违规事项，分别是《行政处罚事先告知书》、《行政监管措 施事先告知书》及《立案告知书》。与此同时，证监会也发布了《证监会严肃查处天风证券违法违规行 为》的相关内容。 根据证监会披露，2020年至2022年期间，天风证券违法为原第一大股东当代集团提供融资、未按规定披 露与当代集团关联交易，当代集团与天风证券共同实施相关违法行为，严重违反证券法律法规。 湖北证监局拟依法对天风证券和当代集团合计处以2500万元的顶格罚款，对9名责任人员合计罚款3480 万元，对当代集团实际控制人艾路明、天风证券时任董事长余磊、时任副总裁兼财务总监许欣采取终身 证券市场禁入措施。 对天风证券及有关人员在业务开展、内控合规等方面存在的违法违规行为，湖北证监局拟依法采取暂停 相关业务、责令处分有关责任人员、监管谈话等行政监管措施。上交所拟对天风证券、当代集团及有关 责任人员依规顶格作出纪律处分。 三大违规事项 监管部门对各责任人的责任认定清晰，均与其知悉并参与违规事项、在年度报告及债券募集说明书上签 字直接相关。余磊作为董事长，知悉并同意违法融 ...

Group 1: Key Highlights - Zhangyue Technology (掌阅科技) expects AI short drama business revenue to not exceed 1% of its main business revenue in 2025 [1][2] - Actual controller of Jialinjie (嘉麟杰), Li Zhaoting, has been subjected to compulsory measures [1][2] - Jindan Technology (金丹科技) increases investment in a project for an annual production of 75,000 tons of polylactic acid biodegradable materials [1][2] Group 2: Contract Awards - Qinglong Pipe Industry (青龙管业) wins the bid for the first section of the heat supply pipeline project from Pengyang County Wangwa Power Plant to the county [1][2] - Gaode Infrared (高德红外) signs a contract for a complete equipment system [1][2] - ST Xintong (ST信通) signs a server procurement contract worth approximately 400 million yuan [1][2] Group 3: Financial Performance - Hanzhong Precision Machinery (汉钟精机) reports a net profit of 470 million yuan for 2025, a decrease of 45.54% year-on-year [1][2] - Fudan Microelectronics (复旦微电) anticipates a net profit of approximately 232 million yuan for 2025, down about 59.42% year-on-year [1][2] - Ruilian New Materials (瑞联新材) expects a net profit of 311 million yuan for 2025, an increase of 23.48% year-on-year [1][2] Group 4: Equity Transactions - Gongjin Co. (共进股份) plans to transfer 21.8340% equity of Chip Material Technology to Xinchang Technology [1][2] - Shengquan Group (圣泉集团) intends to acquire 13.50% equity of Shangbo Pharmaceutical for 4.29 million USD [1][2] - Changjiang Communication (长江通信) plans to exit 4.66% equity of Hangzhou Chenxiao through a targeted capital reduction [1][2] Group 5: Share Buybacks - Hualing Steel (华菱钢铁) has repurchased 0.8109% of its shares [1][2] - SanNuo Bio (三诺生物) has completed a share buyback plan, repurchasing 2.81% of its shares [1][2] Group 6: Shareholding Changes - Chunqiu Electronics (春秋电子) plans to reduce holdings by no more than 2% [1][2] - Guanghuan New Network (光环新网) intends to reduce holdings by no more than 3% [1][2] - ST Yigou (ST易购) plans to reduce holdings by no more than 2.5% [1][2] - Changjiang Communication (长江通信) plans to sell no more than 1 million shares of Changfei Optical Fiber [1][2] Group 7: Other News - Yingjixin (英集芯) is under investigation by the China Securities Regulatory Commission for suspected information disclosure violations [1][2] - Tianfeng Securities (天风证券) has received a notice of investigation from the China Securities Regulatory Commission [1][2] - Chuangshi Technology (创识科技) reports that its controlling shareholder has received a criminal judgment [1][2]

Major Announcements - Tianfeng Securities received a notice from the China Securities Regulatory Commission regarding a case of information disclosure violation related to Fujian Yong'an Forestry Group, and the company will cooperate with the investigation [1] - Zhengyuan Wisdom's actual controller was sentenced to three years in prison for manipulating the securities market, but the company's operations remain normal and unaffected [1] - Jialin Jie announced that its actual controller was detained by the Shijiazhuang Public Security Bureau, but the company's control has not changed and operations are normal [2] - Chuangshi Technology's actual controller received a two-year prison sentence for bribery, but this will not impact the company's operations [2] - Xibu Securities received approval from the China Securities Regulatory Commission for its market-making trading business qualification [3] Corporate Actions - Zongshen Power is planning a major asset swap with Longxin General, aiming to resolve competition issues and promote clearer business development [6] - KOTAI Power has decided to terminate its H-share issuance plans due to various factors, but its operations remain stable [4] - Shaanxi Huada has terminated its acquisition of Huajing Microelectronics due to uncertainties in the restructuring plan [5] Contracts and Projects - Gaode Infrared signed a contract worth 1.851 billion yuan for a complete equipment system, which is expected to significantly impact its Q1 2026 performance [7] - Anhui Construction won three engineering projects with a total estimated investment of approximately 64.98 billion yuan [8] - CNOOC Engineering and Saipem formed a joint venture to win a contract worth approximately 4 billion USD for the Qatar NFPS COMP5 project [8] Financial Performance - Fudan Microelectronics reported a net profit of 232 million yuan for 2025, a decrease of 59.42% year-on-year, despite a revenue increase of 10.92% [10] - Yunda Express reported a revenue increase of 18.01% in January 2026, with a total income of 4.802 billion yuan [11] - SF Holding's logistics and supply chain business revenue grew by 2.22% in January 2026, totaling 26.86 billion yuan [13] - China Shenhua's coal sales increased by 9.9% in January 2026, reaching 33.2 million tons [18] Shareholding Changes - Zhang Quantum reduced its stake in Zhang Reading Technology to below 5% after selling 4.3125 million shares [27] - Zhaolong Interconnect announced plans for board members to reduce their holdings by a total of 0.022% [28] - Guanghua New Network's controlling shareholder plans to reduce its stake by up to 3% [29]

湖北证监局拟依法对天风证券和当代集团合计处以2500万元的顶格罚款，对9名责任人员合计罚款3480 万元，对当代集团实际控制人艾路明、天风证券时任董事长余磊、时任副总裁兼财务总监许欣采取终身 证券市场禁入措施。 对天风证券及有关人员在业务开展、内控合规等方面存在的违法违规行为，湖北证监局拟依法采取暂停 相关业务、责令处分有关责任人员、监管谈话等行政监管措施。上海证券交易所拟对天风证券、当代集 团及有关责任人员依规顶格作出纪律处分。 证监会表示，前期，为切实维护投资者合法权益，证券监管部门持续提升监管执法效能，湖北省积极行 动，当代集团所持天风证券股权已转让给湖北省有关企业，天风证券经营得以保障。 "此次处罚落地，将有利于天风证券进一步夯实公司治理、提高合规风控管理水平，促使其稳健经 营。"证监会称。 21世纪经济报道记者 孙永乐 2月13日，天风证券（601162）（601162.SH）公告收到中国证监会的《行政处罚事先告知书》、《行政 监管措施事先告知书》及《立案告知书》。本次所涉事项主要为原民营股东时期造成的系列历史违规行 为。 值得注意的是，在立案调查初期，天风证券即主动配合监管部门核查，并同步启动内部 ...

天风证券相关负责人表示，本次所涉事项主要为天风证券原民营股东时期造成的系列历史违规行为。在 立案调查初期，天风证券即主动配合监管部门核查，并同步启动内部整改，不影响公司现在及未来经营 发展。随着查处程序进入收官阶段，这一长期制约公司发展的历史遗留问题实现彻底终结。 本报讯 （记者李万晨曦）2月13日，天风证券（601162）股份有限公司（以下简称"天风证券"）公告 称，公司于近期收到中国证券监督管理委员会（以下简称"中国证监会"）下发的《立案告知书》，并于 2月13日收到中国证监会湖北监管局下发的《行政处罚事先告知书》《湖北证监局关于采取暂停相关业 务及出具警示函行政监管措施的事先告知书》《湖北证监局关于采取暂停相关业务、责令处分有关人员 及监管谈话行政监管措施的事先告知书》。 事实上，自2023年湖北宏泰集团有限公司入主后，天风证券便将"解决历史问题"与"构建未来能力"同步 推进。一方面加速风险出清，推动历史风险资产压降；另一方面聚焦主业，推动"新天风"焕新起航，打 造管理规范、业绩优良、服务辐射能力强的新型券商，近三年累计服务实体经济融资近9300亿元，其中 支持湖北企业超1200亿元。2025年，公司完 ...

此外，天风天睿投资有限公司存在经营突破业务范围、管理的部分私募基金产品运作不规范等问题。湖 北证监局拟对该公司采取暂停新设私募基金产品1年及出具警示函的行政监管措施。(完) （文章来源：中国新闻网） 经查，天风证券存在部分员工推介非公司代销的金融产品、违规与武汉当代天信财富管理有限公司协同 开展业务、违规销售福升安心稳健1号私募基金、经营决策不审慎等问题。湖北证监局拟对天风证券采 取暂停开展代销私募金融产品业务2年、责令处分有关责任人员并报告结果、监管谈话的行政监管措 施。 中新网北京2月13日电 (记者陈康亮)天风证券股份有限公司(下称天风证券)13日公告称，公司及子公司 天风天睿投资有限公司分别收到湖北证监局下发的事先告知书。 ...

Group 1 - Tianfeng Securities received an administrative penalty notice from the China Securities Regulatory Commission (CSRC) for violations including undisclosed related party transactions and significant omissions in annual reports, with a proposed fine of 15 million yuan [1] - Zongshen Power plans to swap its motorcycle engine business assets with Longxin General's general machinery business assets to resolve competition issues and promote clearer business development, which is expected to constitute a major asset restructuring [2] - Quantum Leap, the third-largest shareholder of Zhangyue Technology, reduced its holdings by 4.3125 million shares, bringing its ownership below 5% [3] Group 2 - Southwest Securities plans to raise up to 6 billion yuan through a private placement to supplement its capital, with funds allocated for various business areas including wealth management and debt repayment [4][7] - ST Quanwei announced a risk of being subject to "delisting risk warning" due to projected negative net profit and revenue below 100 million yuan for 2025 [5] - ST Yigou's shareholder, Hangzhou Haoyue, plans to reduce its stake by up to 2.5% within three months [6] Group 3 - Gaode Infrared signed a contract worth 1.851 billion yuan for a complete equipment system, which is expected to significantly impact its Q1 2026 performance [9] - Jialinjie announced that its actual controller, Li Zhaoting, has been detained by the police, but this will not affect the company's operations [10] - Zhengyuan Wisdom's actual controller, Chen Jian, was sentenced to three years in prison for manipulating the securities market, but the company’s operations remain unaffected [11] Group 4 - Yongtai Technology terminated its plan to purchase a 25% stake in Yongtai High-tech from CATL due to a lack of consensus among parties involved, with no significant impact on operations [12] - Yingjixin is under investigation by the CSRC for suspected information disclosure violations, but its business activities continue normally [13] Group 5 - SF Holding reported a revenue of 26.86 billion yuan in January, a year-on-year increase of 2.22% [14] - China Shenhua's coal sales volume in January reached 33.2 million tons, up 9.9% year-on-year [14] - China Eastern Airlines and China Southern Airlines reported a year-on-year decline in passenger turnover of 1.03% and 2.86% respectively in January [14]

中新社北京2月13日电 (记者陈康亮)中国证监会13日发布消息称，证监会严肃查处天风证券违法违规行 为，将督促证券行业以案为鉴，全面加强公司治理和合规风控管理。 经查，2020年至2022年期间，天风证券股份有限公司(即天风证券)违法为原第一大股东武汉当代科技产 业集团股份有限公司(下称当代集团)提供融资、未按规定披露与当代集团关联交易，当代集团与天风证 券共同实施相关违法行为，严重违反证券法律法规。 湖北证监局拟依法对天风证券和当代集团合计处以2500万元(人民币，下同)的顶格罚款，对9名责任人 员合计罚款3480万元，对当代集团实际控制人艾路明、天风证券时任董事长余磊、时任副总裁兼财务总 监许欣采取终身证券市场禁入措施。对天风证券及有关人员在业务开展、内控合规等方面存在的违法违 规行为，湖北证监局拟依法采取暂停相关业务、责令处分有关责任人员、监管谈话等行政监管措施。上 海证券交易所拟对天风证券、当代集团及有关责任人员依规顶格作出纪律处分。 前期，为切实维护投资者合法权益，证券监管部门持续提升监管执法效能，湖北省积极行动，当代集团 所持天风证券股权已转让给湖北省有关企业，天风证券经营得以保障。证监会有关部门 ...

证监会表示，公司治理是上市公司高质量发展的根基，合规风控是证券公司稳健发展的生命线。从天风 证券违法违规案例看，一方面，大股东滥用股东权利、违法利用证券公司融资、侵蚀证券公司利益，另 一方面，证券公司突破合规底线、配合股东违法违规，性质恶劣，必须依法从严惩处。下一步，证监会 将继续坚持"追首恶"与"打帮凶"并举，严厉打击此类违法违规行为。同时，督促证券行业以案为鉴，深 刻汲取教训，全面加强公司治理和合规风控管理，持续推进行业文化建设，切实做到"不逾越底线、不 唯利是图、不急功近利、不脱实向虚、不胡作非为"，坚持诚实守信、以义取利、稳健审慎、守正创 新、依法合规。 天风证券回应 据天风证券官方微信号，2月13日，天风证券召开党委专题会，第一时间通报收到行政处罚事先告知 书、监管措施事先告知书以及立案通知等行政执法文书的相关情况。会议要求以此次对历史问题的处理 为契机，围绕"四步同进""四战同打"战略部署，全面推进新阶段工作，加快锻造公司治理新、布局结构 新、经营机制新、精神状态新、经营业绩新、社会形象新的"六新天风"，加快打造管理规范、业绩优 良、服务辐射能力强的新型券商。 近日，证监会对天风证券（601162 ...