中山证券厦门分公司被责令改正 为锦龙股份控股子公司

Core Points - The Xiamen Securities Regulatory Bureau has taken corrective measures against Zhongshan Securities Co., Ltd. Xiamen Branch for compliance failures, including allowing employees to solicit clients through unauthorized individuals and circumventing internal management regulations [1][2] - Specific individuals, Su Xiaolei and Ma Minhua, have received warning letters for their roles in these violations, with Su acting as an investment advisor and Ma as the branch manager [2][9] Summary by Sections Compliance Violations - Zhongshan Securities Xiamen Branch was found to have inadequate compliance controls, allowing employees to engage in client solicitation through individuals other than licensed brokers, which violates multiple regulatory provisions [1][2] - Su Xiaolei, as an investment advisor, was specifically noted for soliciting clients through unauthorized individuals, breaching the Securities Brokerage Business Management Measures [7] - Ma Minhua, as the branch manager, was held responsible for circumventing internal regulations and allowing such practices, violating the Supervisory Management Measures for Directors, Supervisors, and Senior Management Personnel [2][9] Regulatory Actions - The Xiamen Securities Regulatory Bureau has mandated corrective actions for Zhongshan Securities and issued warning letters to both Su Xiaolei and Ma Minhua, with the violations recorded in their integrity files [2][9] - The actions taken are in accordance with various regulatory measures, including the Securities Brokerage Business Management Measures and the Compliance Management Measures for Securities and Fund Management Companies [3][4]