因存在合规管理不到位等问题，东方证券一营业部被监管责令改正

Core Points - The Sichuan Securities Regulatory Bureau has issued a decision to impose corrective administrative measures on the Deyang Lushan South Road Securities Business Department of Dongfang Securities Co., Ltd. due to compliance management and practitioner management issues [3] - The department failed to timely report significant events affecting client rights to the Sichuan Securities Regulatory Bureau, which constitutes a violation of relevant regulations [3] Summary by Category Regulatory Actions - The Sichuan Securities Regulatory Bureau has determined that the Deyang Lushan South Road Securities Business Department has deficiencies in compliance management and practitioner management [3] - The decision includes a directive for the department to correct its practices in accordance with regulatory requirements [3]