人员管理存在合规漏洞 浙商资管及合规负责人被开具警示函

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative regulatory measures against Zhejiang Zheshang Securities Asset Management Co., Ltd. (Zheshang Asset Management) and its compliance officer due to insufficient due diligence and compliance violations related to the appointment of directors [1][2] Group 1: Regulatory Actions - The regulatory measures include issuing warning letters to Zheshang Asset Management and its compliance officer, which will be recorded in the securities and futures market integrity archives [1] - The violations include inadequate due diligence on proposed directors, lax personnel entry controls, and errors in submitted regulatory information [1] Group 2: Compliance Responsibilities - Zheshang Asset Management is required to carefully verify the employment history and qualifications of proposed personnel, and to take full responsibility for personnel selection, supervision, and information reporting [2] - The compliance officer, Yang, is expected to learn from these violations and enhance the compliance review and supervision of the company's operations and staff conduct [2]