浙江证监局对浙商证券资产管理有限公司出具警示函

Core Viewpoint - Zhejiang Securities Regulatory Bureau issued a warning letter to Zhejiang Zheshang Securities Asset Management Co., Ltd. due to insufficient due diligence on proposed directors and compliance loopholes in personnel management [1] Group 1: Regulatory Actions - The Zhejiang Securities Regulatory Bureau decided to take administrative regulatory measures by issuing a warning letter to Zheshang Securities [1] - The warning will be recorded in the integrity file of the securities and futures market [1] Group 2: Compliance Issues - From January to July 2025, Zheshang Securities failed to conduct adequate due diligence on proposed directors and did not enforce strict personnel admission standards [1] - There were errors in the regulatory information submitted by Zheshang Securities, indicating compliance vulnerabilities [1]