两个月内连遭“处罚”！国投证券深圳分公司涉多项违规情形被出具警示函

Group 1 - The core issue is that Guotou Securities Shenzhen Branch has been penalized for multiple violations, including promising returns and unauthorized sales, leading to an administrative warning from the Shenzhen Regulatory Bureau of the China Securities Regulatory Commission [1] - Specific violations include employees promising returns during public fund sales, unqualified personnel participating in fund sales, and providing answers to knowledge assessments related to account permissions [1] - This is the second regulatory penalty for Guotou Securities within two months, following a previous incident in May where an employee was named for similar violations [1] Group 2 - In May, a regulatory letter disclosed that an employee of Guotou Securities, Wu Yu, engaged in illegal practices by promising returns to investors and facilitating off-platform trading [2] - Prior to these incidents, Guotou Securities faced disciplinary action from the Shenzhen Stock Exchange due to issues related to fund borrowing and internal control deficiencies in September 2024 [3]