永安期货天津分公司被出具警示函,涉客户回访工作不到位等

Group 1 - The core issue is the administrative regulatory measures taken by the Tianjin Securities Regulatory Bureau against Everbright Futures Co., Ltd. Tianjin Branch for multiple violations [1] - The identified problems include inadequate client follow-up, employment of unqualified personnel for futures business, and incomplete materials provided during the on-site inspection [1] - These actions are in violation of the relevant regulations outlined in the "Futures Company Supervision and Management Measures" and the "Futures Practitioners Management Measures" [1] Group 2 - The Tianjin Securities Regulatory Bureau has decided to issue a warning letter as a supervisory management measure against Everbright Futures Co., Ltd. Tianjin Branch, which will be recorded in the integrity archives of the securities and futures market [2] - The company has a period of six months from the date of the decision to file a lawsuit with the competent people's court, and the supervisory measures will remain in effect during the review and litigation period [4]

Yongan Futures-永安期货天津分公司被出具警示函,涉客户回访工作不到位等 - Reportify