英大证券被深圳证监局责令改正 员工管理不到位等

Core Points - Shenzhen Securities Regulatory Bureau has decided to impose corrective measures on Yingda Securities Co., Ltd. due to inadequate employee management and insufficient internal controls over new media [1][2] - The company is required to rectify the identified issues and submit a written report to the Shenzhen Securities Regulatory Bureau within 30 days of receiving the decision [2] - Senior management personnel, Shi Lei, has been issued a warning letter for his managerial responsibility regarding the company's violations [1][3] Summary by Sections - Company Violations - Yingda Securities Co., Ltd. was found to have issues related to employee management and new media internal controls, violating the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1][2] - Regulatory Actions - The Shenzhen Securities Regulatory Bureau has mandated corrective actions for Yingda Securities, requiring them to enhance compliance operations and submit a rectification report within 30 days [2] - Shi Lei, as the senior manager responsible for brokerage operations, has received a warning letter due to the company's non-compliance [3] - Appeal Process - Both Yingda Securities and Shi Lei have the right to appeal the regulatory measures within specified timeframes, with the enforcement of the measures remaining in effect during the appeal process [2][3]