华林证券收警示函 代立业集团支付个别员工离职补偿金

Core Points - The Tibet Securities Regulatory Bureau has issued a warning letter to Hualin Securities due to several compliance issues [1][2] - The identified problems include inadequate execution of personnel recruitment and salary management authorization systems, improper payment of employee severance by Hualin Securities on behalf of Shenzhen Liyue Group, and involvement of Liyue Group staff in company operations [1][2] Summary by Categories - Compliance Issues - Hualin Securities failed to properly implement its personnel recruitment and salary management authorization systems [1][2] - The company made severance payments for individual employees on behalf of Shenzhen Liyue Group, which is against regulations [1][2] - Staff from Liyue Group participated in the operational activities of Hualin Securities, violating internal control guidelines [1][2] - Regulatory Actions - The Tibet Securities Regulatory Bureau decided to issue a warning letter as a supervisory measure, which will be recorded in the securities and futures market integrity archive [1][2] - Hualin Securities is required to submit a written rectification report within 30 days of receiving the decision [2] - The company has the right to appeal the supervisory measures within 60 days or file a lawsuit within six months [2][3]