财通证券员工在微信群误导客户被出具警示函

Group 1 - The Jiangsu Securities Regulatory Bureau issued a warning letter to Chen Jiong, an employee of Caitong Securities, for providing misleading information to clients in a WeChat group and failing to adequately inform clients about the risks of securities trading [4] - Caitong Securities has faced multiple regulatory concerns due to compliance issues, including a recent order for rectification from the Zhejiang Securities Regulatory Bureau on November 7 for violations related to its over-the-counter derivatives business [4] - Issues identified in Caitong Securities' over-the-counter derivatives business included inadequate management mechanisms for underlying assets, failure to implement timely adjustments for linked assets, insufficient annual reviews of investor qualifications, and ineffective management of system permissions and passwords [4] Group 2 - Senior management personnel Pei Gencai, as the responsible leader, also received a warning letter from the regulatory authority [4]