The Shenzhen Securities Regulatory Bureau revealed that after investigation, Minmetals Futures Co., Ltd. had problems such as inadequate programmatic trading risk management and control for some asset management products, insufficient investment and research capacity for FOF asset management products, incompatibility with actual publicity materials for some asset management products, failure to effectively prevent the risk of closing individual futures accounts, lack of strict separation of responsibilities in some incompatible positions, and failure to comply with approval procedures in accordance with company system requirements. The Shenzhen Securities Regulatory Bureau decided to take supervisory measures to issue a warning letter against the company, and requested that the company should strengthen active management and risk prevention of asset management business, strengthen compliance review of transaction consulting services, rationally set up job responsibilities, effectively implement risk management and internal control systems, and accelerate the disposal of defaulted asset management products.

The Shenzhen Securities Regulatory Bureau revealed that after investigation, Minmetals Futures Co., Ltd. had problems such as inadequate programmatic trading risk management and control for some asset management products, insufficient investment and research capacity for FOF asset management products, incompatibility with actual publicity materials for some asset management products, failure to effectively prevent the risk of closing individual futures accounts, lack of strict separation of responsibilities in some incompatible positions, and failure to comply with approval procedures in accordance with company system requirements. The Shenzhen Securities Regulatory Bureau decided to take supervisory measures to issue a warning letter against the company, and requested that the company should strengthen active management and risk prevention of asset management business, strengthen compliance review of transaction consulting services, rationally set up job responsibilities, effectively implement risk management and internal control systems, and accelerate the disposal of defaulted asset management products.