原工作人员在从业期间违规，嘉晟瑞信(天津)基金被监管出具警示函

Core Viewpoint - The regulatory environment for fund distribution in China is becoming increasingly stringent, with multiple fund sales institutions receiving penalties for violations of regulations [1][2][5]. Group 1: Regulatory Actions - Tianjin Securities Regulatory Bureau issued a warning letter to both Zheng and Jiasheng Ruixin (Tianjin) Fund Sales Co., Ltd. for Zheng's unauthorized sale of non-company products [2][3]. - The company failed to effectively prevent compliance risks, violating the regulations set forth in the "Measures for the Supervision and Administration of Publicly Raised Securities Investment Fund Sales Institutions" [2][3]. Group 2: Industry Trends - Numerous fund sales institutions have faced penalties this year, particularly banks and independent fund sales platforms, indicating a broader trend of regulatory scrutiny in the industry [5][6]. - The penalties issued to banks, such as Hainan Bank and Huaxia Bank, highlight ongoing issues related to unqualified sales personnel and inadequate internal assessment mechanisms [5][6]. Group 3: Company Profile - Jiasheng Ruixin (Tianjin) Fund was established on June 30, 2016, and is fully controlled by Shanghai Ruiwei Asset Management Co., Ltd., which is classified as an "observational member" by the Asset Management Association of China [3][4]. - Currently, Jiasheng Ruixin (Tianjin) Fund distributes 183 fund products from three fund companies, ranking at the lower end among distribution institutions [4].