SWSC(SH:600369) Zhong Guo Jing Ji Wang·2025-09-08 07:43Core Viewpoint - The China Securities Regulatory Commission (CSRC) has issued a warning letter to Southwest Securities Co., Ltd. Dalian Branch due to violations related to client solicitation and incomplete business records [1][5]. Regulatory Violations - Southwest Securities Dalian Branch was found to have engaged in improper practices such as entrusting bank staff for client solicitation and maintaining incomplete business records, violating multiple regulations including the Securities Company Supervision Management Regulations and the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1][5]. - Specific violations include breaching Article 33 of the Securities Company Supervision Management Regulations, Article 3 of the Compliance Management Measures, and Article 8 of the Securities Brokerage Business Management Measures [1][5]. Regulatory Actions - The CSRC Dalian Regulatory Bureau decided to take administrative regulatory measures by issuing a warning letter to the Dalian Branch of Southwest Securities [1][5]. - The company is required to submit a written report on the rectification of the identified issues within 30 days of receiving the decision [5].