Group 1 - Zhejiang Securities Regulatory Bureau issued six penalties to Shanghai Securities and its employees on November 14 [1] - Shanghai Securities and its Ruian Tangxia Avenue Securities branch were found to have multiple employees violating integrity and compliance regulations from 2017 to 2021 [2] - The violations included failures in internal controls and compliance management, leading to administrative regulatory measures including warning letters [2] Group 2 - Four employees, Yan Lingli, Zhu Lingli, Huang Wenxiao, and Chen Jinwei, were subjected to regulatory interviews for non-compliance with integrity regulations [2] - Shanghai Securities is held responsible for the management failures that led to these violations, as per the relevant compliance management regulations [2]
六张罚单直指上海证券！公司及营业部被出具警示函 四名员工被约谈
Xin Lang Zheng Quan·2025-11-15 02:55