无证上岗？国新证券一营业部员工被约谈！江西分公司总经理违规推荐人员遭警示

Core Viewpoint - Recent administrative regulatory measures were announced by the Jiangxi Securities Regulatory Bureau involving Guoxin Securities Co., Ltd. (formerly Huarong Securities Co., Ltd.) due to violations of securities advisory regulations [1] Group 1: Regulatory Violations - Wang Huaxin, while employed at Guoxin Securities' Nanchang Green Lawn Road Securities Business Department, provided investment advisory services without being registered with the China Securities Association, violating multiple regulations [2][4] - The actions of Wang Huaxin contravened the Interim Provisions on Securities Investment Advisory Business and other relevant regulations, leading to administrative measures including a regulatory conversation and a record in the securities market integrity file [4] - Lou Jian, as the general manager of Guoxin Securities' Jiangxi branch, recommended unregistered personnel to provide investment advisory services, also violating compliance management regulations [4][5] Group 2: Administrative Measures - The Jiangxi Securities Regulatory Bureau decided to issue a warning letter to Lou Jian and record this in the securities market integrity file, based on the violations identified [5] - Guoxin Securities has a registered capital of 5.841 billion yuan and is headquartered in Beijing, controlled by China Guoxin Holdings Limited [5] - As of the end of 2024, Guoxin Securities operates 18 branches and 64 business departments, with a consolidated revenue of 1.751 billion yuan and a net profit of 320 million yuan for the year [6]