又有券商收“罚单”！

Core Points - The Zhejiang Regulatory Bureau issued a warning letter to Everbright Securities' Lishui branch due to issues such as assigning marketing tasks to non-marketing personnel, improper expense management, and failure to effectively separate incompatible job responsibilities [2][5][6] - This follows a previous warning issued by the Shanghai Securities Regulatory Bureau in January for similar violations involving unauthorized solicitation activities by employees [2][8] Summary by Category Regulatory Actions - The Zhejiang Regulatory Bureau's decision to issue a warning letter reflects ongoing regulatory scrutiny of securities firms, emphasizing the need for compliance and internal controls [3][5] - The warning letter will be recorded in the securities and futures market integrity archives, indicating the seriousness of the violations [5][6] Compliance Issues - The identified issues at Everbright Securities' Lishui branch highlight deficiencies in internal controls and compliance management, violating established regulations [5][6] - The responsible individual, Lei Moujun, is also subject to a warning and is urged to enhance legal and compliance awareness [6] Industry Context - The regulatory environment for securities firms has tightened, with multiple firms facing penalties for various compliance failures, indicating a broader trend of increased oversight in the industry [8][9]