涉违规招揽客户 又一券商华林证券被“双罚”

Core Viewpoint - The Shanghai Securities Regulatory Bureau has issued administrative penalties in the form of warning letters to Huayin Securities Shanghai Branch and an individual named Jin Moujing for violations related to client solicitation practices [1] Summary by Relevant Sections Regulatory Actions - The Shanghai Securities Regulatory Bureau has taken administrative measures against Huayin Securities Shanghai Branch and Jin Moujing for not strictly regulating employee conduct [1] - The penalties were issued in accordance with the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] Violations Identified - Huayin Securities Shanghai Branch was found to have employees soliciting clients through third parties that are not registered securities brokers [1] - Jin Moujing, during her tenure at Huayin Securities Shanghai Branch, also engaged in client solicitation through unauthorized third parties [1] Industry Context - There has been an increase in violations among securities firms this year, particularly related to client solicitation as the A-share market has risen [1] - The practice of "double penalties" for such violations is becoming standard, indicating a heightened regulatory enforcement environment [1]