红塔证券重庆南坪营业部因合规人员违规服务 被重庆证监局出具警示函并记入诚信档案

Core Points - Hongta Securities' Chongqing Nanping Securities Office received an administrative warning from the Chongqing Securities Regulatory Bureau for compliance violations related to management personnel engaging in client service activities [1] - The violation was identified as contravening Article 26 of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] - The Chongqing Securities Regulatory Bureau mandated the office to enhance compliance and personnel management to prevent similar issues in the future [1] Regulatory Actions - The Chongqing Securities Regulatory Bureau issued a warning letter on September 29, 2025, and recorded the incident in the securities and futures market integrity archive [1] - The office has the right to apply for administrative reconsideration to the China Securities Regulatory Commission within 60 days or file a lawsuit within six months if it disagrees with the regulatory measures [1] - The enforcement of the supervisory measures will not be suspended during the reconsideration or litigation period [1]