英大证券某营业部被责令改正 员工编发不当市场信息等

Core Points - The Guangdong Securities Regulatory Bureau has imposed corrective measures on Yingda Securities Co., Ltd. Dongguan Dongcheng Securities Business Department due to inadequate monitoring of employee investment behaviors and insufficient compliance training for brokers [1][4] - Liu Biao has been identified as an inappropriate candidate due to disseminating improper market information through social media, leading to significant negative impact [2][6] Summary by Sections Issues Identified - The Dongguan Dongcheng Securities Business Department failed to adequately monitor the investment behaviors of its employees, including insufficient verification of communication device information [1][4] - There was a severe lack of compliance training for brokers in 2024, which did not cover all brokers in the department [1][4] - Management of employees' social media accounts was inadequate, lacking proper compliance training and monitoring mechanisms [1][4] Regulatory Actions - The Guangdong Securities Regulatory Bureau has mandated corrective actions based on violations of several regulatory guidelines, including the "Supervision Management Measures for Directors, Supervisors, Senior Management Personnel, and Practitioners of Securities and Fund Management Institutions" [2][4] - Liu Biao has been barred from holding customer development service-related positions in securities companies for two years due to his actions [3][6] Compliance Requirements - The Dongguan Dongcheng Securities Business Department is required to submit a rectification plan within 30 days of receiving the decision, and the bureau will check compliance based on the situation [5] - Liu Biao has the right to appeal the regulatory measures within 60 days or file a lawsuit within six months [6][5]