上海证券某营业部收警示函 多名员工违反廉洁从业规定

Core Viewpoint - The Zhejiang Securities Regulatory Bureau has issued a warning letter to Shanghai Securities Co., Ltd. due to multiple employees violating integrity regulations from 2017 to 2021, indicating failures in internal controls and compliance management [1][9]. Group 1: Violations and Regulatory Actions - Shanghai Securities Co., Ltd. is held responsible for management failures leading to violations of integrity regulations and compliance management rules [2][7]. - The regulatory measures include issuing a warning letter and recording it in the securities market integrity archive [1][9]. - Specific employees, including Yan Lingli, Zhu Lingli, and Huang Wenxiao, were found to have engaged in non-compliant professional behavior [2][11][14]. Group 2: Compliance Regulations - The violations reflect breaches of several regulations, including the Securities and Futures Industry Integrity Regulations and the Compliance Management Measures for Securities Companies [1][4]. - The regulations stipulate that securities firms must establish effective internal control systems and risk prevention measures [3][5]. - The compliance management should cover all business areas and involve all staff in identifying and controlling compliance risks [6][8]. Group 3: Recommendations and Future Actions - The company is advised to learn from these violations, improve management systems, and enhance compliance management levels [7][10]. - Employees are required to undergo regulatory discussions to address their non-compliance issues [11][14].