中银证券重庆收警示函 员工违规炒股违规操作客户账户

Core Points - Chongqing Securities Regulatory Bureau issued a warning letter to Zhongyin International Securities Co., Ltd. (stock code: 601696.SH) due to violations related to improper use of client securities accounts and inadequate internal management [1] - Securities practitioner Peng Yi was ordered to rectify his actions for similar violations, which included using others' securities accounts and improperly managing client accounts [2] Summary by Category Company Actions - Zhongyin Securities' Chongqing branch was found to have employees using others' securities accounts for trading, reflecting weak internal management and failure to monitor abnormal trading activities effectively [1] - The Chongqing Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure, emphasizing the need for improved compliance and personnel management [1] Individual Actions - Peng Yi, a securities practitioner associated with Zhongyin Securities, was found to have engaged in similar violations, leading to a directive for correction and a record in the securities market integrity file [2][3] - The violations included using others' accounts for trading and improper handling of client accounts, breaching multiple regulations [2]