Core Viewpoint - Jilin Securities Regulatory Bureau issued a warning letter to Guosheng Securities Co., Ltd. for failing to fulfill suitability management responsibilities and monitoring client trading behaviors [1][6]. Group 1: Regulatory Findings - Guosheng Securities' Changchun Jingyang Dalu Securities Business Department did not effectively perform suitability management duties, leading to insufficient verification of individual investor information [1][6]. - The monitoring of abnormal trading behaviors of clients was found to be inadequate [1][6]. - There was a lack of oversight regarding the investment activities of employees, their spouses, and related parties [1][6]. Group 2: Regulatory Basis - The actions of Guosheng Securities violated several regulations, including Article 3 of the "Securities and Futures Investor Suitability Management Measures" (CSRC Order No. 202) and Article 25 of the "Securities Brokerage Business Management Measures" (CSRC Order No. 204) [1][6]. - The regulatory measures taken were based on Articles 37, 43, and 51 of the relevant management measures, allowing for the issuance of a warning letter as an administrative supervisory measure [1][6].
国盛证券一营业部收警示函 未有效履行适当性管理职责
Zhong Guo Jing Ji Wang·2025-05-16 08:15