Operator Finance Network Intern Han Qing / Text
Recently, Donghai Securities was involved in a securities misrepresentation liability dispute case, and the Jiangsu Provincial High People's Court held a civil second trial. The operator's financial network paid attention to the executive behind it, Ma Yun, who is the CRO and compliance director, what was her previous experience?
From the public resume, it is known that Ma Yun was born in August 1977, is 47 years old this year, and has a master's degree.
She worked as a teacher and teaching assistant at Nanjing Audit University, and later, she went to the Jiangsu Supervision Bureau of the China Securities Regulatory Commission, where she successively served as a fourth-level professional assistant, deputy chief clerk, chief clerk, deputy director and deputy director. From June 2017 to January 2020, she served as an investigator and director of the Accounting Supervision Division of the Jiangsu Regulatory Bureau.
In 2020, Ma Yun moved to Donghai Securities, where she was appointed as Chief Compliance Officer and Chief Risk Officer in March, and in June, she became a member of the Executive Committee of Donghai Securities.
At present, her specific salary has not been announced, but it can be seen from the annual reports of previous years that in 2021, Nanjing Securities will issue a total of 28.9094 million yuan to ten executives, with an average salary of about 2.89 million, in 2022, 11 executives will be issued 23.8709 million yuan, with an average salary of 2.17 million, and last year, a total of 16.1413 million yuan will be issued to 12 executives, with an average salary of 1.345 million. It can be seen that the annual salary of senior executives of Donghai Securities is on a downward trend.
According to the annual report, the company's operating income during the reporting period was 650 million yuan, a decrease of 61.35% over the previous period; The net profit attributable to the parent company was -492 million, a year-on-year decrease of 467.98%.
It is worth mentioning that Donghai Securities received an order from the Jiangsu Securities Regulatory Bureau in April this year to supervise, because the company did not establish a multi-level, interconnected, and effective risk management operation mechanism in terms of comprehensive risk management; Failure to complete the appointment and dismissal of supervisors of the subsidiary Donghai Investment Co., Ltd. in a timely manner; In some investment banking projects, a sound underwriting risk assessment and handling mechanism has not been established; Failure to conduct strict review of the pricing basis of offline investors; Failure to make bookbuilding video recordings as required; Some investment value research reports are not written prudently and objectively enough.
This is not directly related to Ma Yun, but it warns her, as a compliance director and CRO, to strengthen her prevention of the company's violations of laws and regulations.