因存在对拟聘任董事尽调不充分等违规行为，浙商证券资管被监管警示

Core Viewpoint - Zhejiang Securities Regulatory Bureau issued a warning letter to Zhejiang Zheshang Securities Asset Management Co., Ltd. for insufficient due diligence on proposed directors and compliance breaches in personnel management [4]. Group 1: Regulatory Actions - Zhejiang Securities Regulatory Bureau found that from January to July 2025, Zheshang Securities Asset Management failed to conduct adequate due diligence on proposed directors and submitted erroneous regulatory information [4]. - The regulatory authority decided to issue a warning letter as an administrative regulatory measure, which will be recorded in the integrity archives of the securities and futures market [4]. - The company is required to carefully verify the qualifications of proposed personnel, including their work experience and concurrent positions, and to enhance compliance management to prevent future violations [4]. Group 2: Individual Accountability - Yang Kai, the compliance officer of Zheshang Securities Asset Management, did not fulfill his supervisory and reporting responsibilities regarding the violations, thus bearing responsibility for the infractions [4]. - The regulatory bureau also decided to issue a warning letter to Yang Kai, which will also be recorded in the integrity archives of the securities and futures market [4]. - Yang Kai is instructed to learn from the incident and strengthen the compliance review, supervision, and inspection of the company's operations and staff conduct [4].