一基金销售机构，被出具警示函！

Core Viewpoint - The regulatory environment for fund sales institutions is becoming increasingly stringent, as evidenced by the issuance of warning letters to both a former employee and the company itself, 嘉晟瑞信（天津）基金, for violations related to the sale of non-company products [1][3][4]. Group 1: Regulatory Actions - The Tianjin Securities Regulatory Bureau issued a warning letter to former employee 郑某某 for selling non-company products during his tenure at 嘉晟瑞信（天津）基金, violating the regulations set forth in the Securities and Futures Business Institutions and Their Staff Integrity Management Regulations [3]. - 嘉晟瑞信（天津）基金 was also penalized for failing to effectively prevent compliance risks, which is a violation of the Publicly Raised Securities Investment Fund Sales Institutions Supervision Management Measures [3][4]. - The company is required to improve employee management to prevent future occurrences and must submit a written report within 30 working days of receiving the decision [6]. Group 2: Industry Context - Multiple fund sales institutions have faced regulatory penalties this year for various violations, including unqualified sales personnel and non-compliant marketing activities [2][8]. - Banks remain the primary channel for fund sales and are under close scrutiny from regulatory bodies, with recent penalties issued for violations related to unqualified sales personnel and inadequate internal assessment mechanisms [8]. - Third-party wealth management institutions are also facing regulatory actions, highlighting the need for enhanced compliance and risk management across all sales channels [9].