华林证券上海分公司收警示函 客户招揽活动违规

Group 1 - The China Securities Regulatory Commission (CSRC) Shanghai Regulatory Bureau issued warning letters to Huayin Securities Co., Ltd. Shanghai Branch and Jin Xiaojing due to non-compliance with regulations regarding employee conduct and client solicitation activities [1][2]. - Huayin Securities Shanghai Branch was found to have employees soliciting clients through third parties outside of authorized securities brokers, violating the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1][2]. - Jin Xiaojing, while employed at Huayin Securities Shanghai Branch, also engaged in client solicitation activities through unauthorized third parties, leading to the issuance of a warning letter against her [2][5].