国信证券太原某营业部员工收警示函 操作他人证券账户

Core Points - The Shanxi Securities Regulatory Bureau issued a warning letter to Zou Hui for operating other people's securities accounts while working at Guosen Securities Co., Ltd. [1][2] - This action violated the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies, specifically Article 10, Paragraph 2 [1][2] - The regulatory authority decided to impose supervisory measures and record the incident in the securities and futures market integrity file [1][2] Regulatory Actions - Zou Hui is required to take the issue seriously and rectify the problems, submitting a written rectification report within one month of receiving the decision [2] - If Zou Hui disagrees with the supervisory measures, he can apply for administrative reconsideration within 60 days or file a lawsuit within six months [2] - The execution of the supervisory measures will not be suspended during the reconsideration or litigation period [2]