Due to the existence of problems such as improper management of asset management business, Dongfang Huijin Futures has been ordered by regulators to make corrections.

On September 16, the Jilin Securities Regulatory Bureau issued a document stating that after investigation, Dongfang Huijin Futures Co., Ltd. had problems with the management of asset management business. The disclosure of information related to participants in asset management plans was insufficient; some asset management products were publicly advertised without adequate disclosure to investors; the management system for asset management business permissions was inadequate; the types and arrangements for dealing with abnormal situations involving same-direction and reverse transactions between different asset management plans were not clearly defined; due diligence was not conducted on some counterparties and access management and limit management were not implemented. At the same time, the Jilin Securities Regulatory Bureau also pointed out that Dongfang Huijin Futures had insufficient compliance control during the Internet marketing process. Compliance monitoring and record-keeping for marketing activities were inadequate; some promotional content during the marketing process contained misleading statements; and some personnel who did not have qualifications for futures trading consultation provided futures trading advice to clients.