Safeguarding Shanghai's Financial Security, Building a Compliant Culture in the Securities Industry
——Oriental Securities Successfully Hosted the "Anti-Fraud Publicity and Investor Education Innovation" Public Welfare Campaign

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Recently, the public welfare campaign “Safeguarding Shanghai Financial Security • Anti-Fraud Promotion and Investment Education Innovation,” hosted by the Shanghai Securities Industry Association and organized by Orient Securities, was successfully held at Yuyuan Garden Mall in Shanghai.

As the first event in the 2026 Shanghai securities industry anti-fraud and anti-telecom fraud investment education campaign, this activity was conducted under the guidance of the Shanghai Securities Regulatory Bureau. It involved 20 organizations, including the Shanghai Public Security Bureau Economic Investigation Team, the Second Branch of the Shanghai People’s Procuratorate, the Huangpu Branch of the Shanghai Public Security Bureau, the Huangpu District People’s Procuratorate, the Huangpu District People’s Court, the Shanghai Stock Exchange, and securities market institutions. The event established an investor protection mechanism centered on “regulatory guidance, rule of law, industry coordination, and social co-governance,” uniting efforts to safeguard financial security and investor rights. Its goal was to practice the “finance for the people” philosophy and strengthen the “safety net” for investor protection.

Integrating intangible cultural heritage with anti-fraud and anti-telecom fraud education enriches and innovates investment education practices.

The event was held at Yuyuan Garden, a site with seven centuries of Shanghai’s traditional cultural heritage. Orient Securities presented original shadow puppet shows, including “Fire Eye Identifies Scams” and the anti-fraud stage play “The ‘Gold’ Heist,” using national cultural essence and immersive performances to expose illegal securities activities, making compliance and anti-fraud concepts resonate through joyful entertainment. An innovative “Anti-Fraud Investment Education Fair” was created, featuring 16 booths (including AI anti-fraud tool experience zones). Judicial agencies such as the Shanghai Public Security Bureau Economic Investigation Team and the Bund Financial Procuratorate Base provided professional perspectives on anti-fraud education; the Shanghai Stock Exchange, Shanghai Securities Industry Association, and Orient Securities set up educational booths, using interactive games, animated micro-movies, and legal publicity to reveal illegal financial activity patterns, guiding investors to “avoid small gains, not believe in myths, and not blindly follow trends,” protecting their “purses.”

This event not only explored innovative forms of investment education and compliance promotion but also integrated excellent traditional Chinese culture into the construction of the securities industry’s cultural identity. Citizens and tourists, while strolling through Yuyuan and appreciating intangible cultural heritage, helped bring anti-fraud and anti-telecom fraud concepts into everyday life, showcasing the industry’s image of “compliance, integrity, professionalism, and stability.”

Collaboration between industry regulators and judicial authorities injects solid rule-of-law strength into financial security.

As “3.15” (World Consumer Rights Day) approaches, a special forum was held focusing on the China Securities Regulatory Commission’s annual theme, “Clear Financial Networks, Protecting Peace of Mind in Investment.” Representatives from the Shanghai Securities Regulatory Bureau and judicial agencies discussed topics such as governance of illegal securities and futures activities, legal case applications, and cooperation experiences. On-site legal consultation stations were set up by units like the Shanghai Public Security Bureau Economic Investigation Team and the Second Branch of the Shanghai People’s Procuratorate, answering questions about “stock tip scams” and “financial master” schemes. The forum shared experiences from major cases, legal challenges, and the governance philosophy of “early intervention and preemptive treatment.” The Huangpu District Procuratorate introduced the achievements of the “Bund Financial Procuratorate Integrated Duty Platform,” demonstrating the judiciary’s commitment to maintaining financial order.

Participants expressed their intention to strengthen compliance, innovate investment education, and deepen judicial cooperation. They called on industry organizations to learn from typical cases to improve dispute resolution mechanisms and jointly build an “investment safety net.”

Industry associations and market entities work together to fulfill the core responsibility of “finance for the people.”

Anti-fraud and anti-telecom fraud efforts are a systemic social governance project requiring coordinated prevention and protection efforts among industry education, law enforcement, and judicial authorities. The Shanghai Securities Industry Association released the “Collection of Typical Cases of Illegal Securities Activities and Financial Fraud 2025-2026” on-site and established a dialogue platform among regulators, judicial agencies, and market participants to build consensus and promote joint efforts against illegal activities. Orient Securities integrated compliance principles into every aspect of this educational event. Jiang Helei, Compliance Director and Chief Risk Officer of Orient Securities, emphasized that securities firms, as providers of direct financing, gatekeepers of the capital market, and managers of social wealth, must uphold the industry’s fundamental principles of “serving the people” and “compliance first.” He called on colleagues to actively participate in protecting investor rights and supporting high-quality market development.

Participants noted that illegal securities activities are becoming more covert and sophisticated, making prevention and education a long-term battle. It requires close cooperation among market institutions, regulators, self-regulatory organizations, and law enforcement agencies to create a comprehensive safety network before, during, and after incidents, safeguarding investor rights, maintaining financial order, and preventing systemic risks.

In the inaugural year of the 14th Five-Year Plan, during the “Two Sessions” and around “3.15,” this cross-sector, innovative promotional activity at Yuyuan not only marked the start of Shanghai’s securities industry’s anti-fraud and anti-telecom fraud investment education campaign for 2026 but also embodied the practice of “finance for the people.” It fostered shared value consensus and clarified action directions for industry-wide governance.

The successful organization of this event is a concrete measure by the Shanghai Securities Industry to uphold the political and people-oriented nature of financial work. It signifies a solid step forward in exploring multi-party co-governance involving regulators, judicial authorities, industry, and society in investor protection, laying a good social foundation for creating a clean financial ecosystem, boosting market confidence, and supporting the high-quality development of Shanghai’s international financial center.

We look forward to this being a new starting point for continuously safeguarding investor trust, ensuring the steady and far-reaching development of the capital market, and further demonstrating and contributing to the strength of Shanghai’s securities industry.

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