委托第三方揽客，华林证券上海分公司与相关员工被监管点名

Core Viewpoint - The Shanghai Securities Regulatory Bureau has issued administrative regulatory measures against Huayin Securities, specifically targeting its Shanghai branch and related employees for violations in brokerage activities [2][5]. Regulatory Actions - The Shanghai Securities Regulatory Bureau decided to issue a warning letter to Huayin Securities Shanghai Branch due to violations by its employee, Jin Xiaojing, who engaged third parties outside of licensed brokers for client solicitation, violating relevant regulations [5][6]. - The regulatory measures are part of a broader pattern, as Huayin Securities has been named in regulatory actions multiple times since 2024, totaling eight instances [7][10]. Employee Violations - Jin Xiaojing, previously employed at Huayin Securities, was found to have solicited clients through unauthorized third parties, which contravenes the interim regulations for securities brokers [5][10]. - The Shanghai Securities Regulatory Bureau also identified that the branch failed to strictly regulate employee conduct, allowing such violations to occur [5][10]. Historical Context - Since the beginning of 2024, Huayin Securities has faced increasing scrutiny, with the Shanghai branch being named in regulatory actions twice within the year [7][10]. - Previous violations included inadequate due diligence in project assessments and failure to comply with internal control procedures, leading to regulatory discussions with senior management [9][10].