华西证券义乌某营业部收警示函 投资者招揽活动违规

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative measures against Huaxi Securities' Yiwu Mall Avenue Securities Business Department for violations related to investor solicitation activities, highlighting compliance issues within the company [1][2][9]. Group 1: Violations and Measures - Huaxi Securities' Yiwu Mall Avenue Securities Business Department was found to have engaged in illegal solicitation activities by entrusting individuals outside of licensed securities brokers, violating Article 8, Item 7 of the Securities Brokerage Business Management Measures [1][6]. - The Zhejiang Securities Regulatory Bureau decided to issue a warning letter to the Yiwu Mall Avenue Securities Business Department and record this in the securities and futures market integrity file [1][6]. - Wei Qian, the head of the business department, is held responsible for the violations and is subject to corrective measures, which will also be recorded in the integrity file [7][8]. Group 2: Responsibilities of Management - Tong Xuejun, as the head of Huaxi Securities' Zhejiang branch, is responsible for the compliance operations of the business department and has been issued a warning letter for inadequate compliance management, violating Article 10, Paragraph 1 of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [2][9]. - The regulatory authority emphasized the need for both Wei Qian and Tong Xuejun to enhance compliance management and rectify the identified issues to prevent future violations [8][10].