光大证券厦门某营业部收警示函 多名从业人员存违规

Core Viewpoint - The Xiamen Securities Regulatory Bureau has issued a warning letter to the Xiamen Zhanhong Road Securities Business Department of Everbright Securities due to compliance management issues and violations of regulations [1][11][18]. Summary by Relevant Sections Compliance Management - The compliance management of securities and fund operating institutions must cover all business areas, including decision-making, execution, supervision, and feedback [12]. - Institutions are required to conduct business in compliance, diligently, and prioritize customer interests, ensuring appropriate products and services are offered to suitable clients [2]. Violations and Consequences - Multiple employees at the Xiamen Zhanhong Road Securities Business Department were found to have engaged in violations, indicating inadequate compliance management [11][8]. - The regulatory measures include issuing a warning letter and recording the situation in the integrity file according to the relevant regulations [1][18]. Regulatory Framework - The regulations stipulate that if a securities fund operating institution violates compliance rules leading to governance issues or inadequate internal controls, administrative regulatory measures can be taken against responsible personnel [6][16].