天风证券某营业部收警示函 员工从业期间兼职并飞单

Core Points - The China Securities Regulatory Commission (CSRC) has issued warning letters to Tianfeng Securities Co., Ltd. and an employee, Liao Lulin, for compliance violations related to the sale of non-Tianfeng products [1][2][3][4][5] Group 1: Company Compliance Issues - Tianfeng Securities' Chongqing Qingyun Road Guojin Center Securities Business Department failed to prevent compliance risks as some former employees acted as financial managers for other companies and sold products not issued or distributed by Tianfeng [1][3] - The actions of the Chongqing branch violated the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies, specifically Articles 3 and 6 [1][3] - The CSRC decided to issue a warning letter as an administrative regulatory measure, which will be recorded in the securities and futures market integrity archives [1][3] Group 2: Individual Compliance Issues - Liao Lulin, while employed at Tianfeng Securities, also acted as a financial manager for another company and sold non-Tianfeng products [4][5] - Liao's actions violated the Regulations on the Integrity of Securities and Futures Operating Institutions and Their Staff, specifically Article 10 [2][5] - The CSRC has also decided to issue a warning letter to Liao, which will be recorded in the securities and futures market integrity archives [4][5]