因合规管控不到位，申万宏源西部证券一营业部被监管警示

Core Viewpoint - The Xinjiang Securities Regulatory Bureau has issued a warning to Shenwan Hongyuan West Securities Co., Ltd. for compliance failures at its Wujiaqu Zhenxing Street branch, highlighting serious internal management violations [1] Compliance Issues - The Wujiaqu Zhenxing Street branch was found to have engaged in improper practices, including soliciting clients through bank staff and allowing interns to be improperly introduced by the former manager [1] - The branch also violated internal management regulations by using branch employees' names to affiliate clients and obtain performance commissions [1] Regulatory Actions - The Xinjiang Securities Regulatory Bureau has decided to issue a warning letter to the Wujiaqu Zhenxing Street branch and record this in the securities and futures market integrity archive [1] - The bureau has mandated that the branch strengthen compliance management and conduct compliance education to prevent future issues [1] - A warning letter was also issued to Wei Ze, the former manager of the branch, who is held responsible for the compliance failures [1]