国融证券分支管理不到位被警示 为西部证券控股子公司

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has taken administrative measures against Guorong Securities Co., Ltd. for compliance violations, including issuing a warning letter and ordering corrective actions for its Yiwu branch [1][12]. Group 1: Compliance Violations - Guorong Securities' Yiwu branch failed to report compliance risks or violations to the compliance officer in a timely manner, violating the Compliance Management Measures [1][12]. - The company was found to have inadequate compliance management across its branches, breaching multiple provisions of the Compliance Management Measures [1][12]. Group 2: Administrative Measures - The CSRC decided to issue a warning letter to Guorong Securities and record it in the securities market integrity archive [1][12]. - The Yiwu branch is required to take corrective actions and will also be recorded in the integrity archive [1][12]. Group 3: Legal Framework - The Compliance Management Measures (CSRC Order No. 166) stipulate that compliance management should cover all business areas and involve all staff [4][5]. - The measures emphasize the importance of a compliance culture and the responsibility of all employees to report compliance risks [6][7].