又见券业违规“飞单”

Core Viewpoint - The article highlights the increasing regulatory scrutiny in the securities industry, particularly focusing on the issue of "flying orders," where employees sell financial products not issued or authorized by their firms, leading to administrative penalties and warnings for both individuals and their respective firms [1][2]. Group 1: Regulatory Actions - The Chongqing Securities Regulatory Bureau issued a warning to Liao Moulin from Tianfeng Securities for selling non-company products, resulting in a warning letter for both him and his department [1]. - Liao Moulin's actions occurred during his tenure at Tianfeng Securities from April 7, 2022, to October 31, 2023, and he is now employed at Southwest Securities [1]. - The Chongqing Securities Regulatory Bureau also penalized Tianfeng Securities' Chongqing Qinyun Road branch for failing to prevent compliance risks related to Liao's actions, leading to a warning letter for the branch as well [1]. Group 2: Industry Trends - "Flying orders" are a common issue in the securities industry, where employees sell unauthorized financial products, reflecting a lack of compliance and risk management within firms [2]. - Other instances of "flying orders" include a case in February where Bohai Securities was penalized for not detecting employees selling private placement products, indicating systemic compliance weaknesses [2]. - The Jiangxi Securities Regulatory Bureau noted that such unauthorized financial products are often marketed as "high yield" and "low risk," posing significant risks to investors and leading to potential disputes [2].