Operator Finance Network Intern Han Qing / Text
Recently, Founder Securities and Switzerland Bank jointly transferred a 49% stake in Credit Suisse Securities to Beijing State-owned Assets Company; As a result, the operator's financial network paid attention to the brokerage and tried to reveal the past experience of Cao Yuhai, the compliance director.
According to the public resume, Cao Yuhai was born in December 1981 and is 43 years old this year, he has a bachelor's degree and a master's degree in economics, but the institution of his first degree, his major and the time of graduation have not been disclosed.
He has worked for Tianjian Certified Public Accountants (Special General Partnership), Industrial Securities Co., Ltd., China Securities Regulatory Commission, and Beijing Jingdong Cai Information Technology Co., Ltd., and the specific date and position are not disclosed.
From July 2021 to May last year, he served as the assistant to the president and the deputy director of the Investment Banking Committee of Minsheng Securities Co., Ltd.
After leaving Minsheng Securities, Cao Yuhai jumped to Founder Securities; In May last year, Sun Bin, the former compliance director of Founder Securities, resigned due to work adjustments, and Cao Yuhai was appointed by the board of directors as a member of the executive committee and the company's compliance director; In addition, he is currently the Compliance Director of Founder Underwriting Sponsorship and the Head of Compliance of Founder Hesheng.
According to information from Oriental Wealth Network, Cao Yuhai received a salary of 1.123 million yuan after taking office in May last year.
Founder Securities' first quarter report of 2024 disclosed that the company achieved operating income of 1.984 billion yuan during the reporting period, a year-on-year increase of 11.97%; net profit attributable to the parent company was 784 million yuan, a year-on-year increase of 41.06%; The non-net profit was 764 million yuan, an increase of 40.69% over the same period of the previous year, and the performance was not bad.
It is worth mentioning that Founder Securities has produced a number of violation records this year, the most recent of which was on June 6 this year, when the brokerage Shanghai Fengxian District Jinhai Highway Securities Business Department handled the business authority of the national SME share transfer system for institutional investors in 2023, there were failures to fully and prudently perform their duties and fully understand the situation of investors, and Yin Dongmei, as the person in charge of the business department, was responsible for the above problems, so the Shanghai Regulatory Bureau issued a warning letter to the business department and related personnel.
Although this has nothing to do with Cao Yuhai, the compliance director, it also warns him to further prevent violations by the company's employees.