无证上岗！国新证券一营业部员工被约谈

Core Viewpoint - The Jiangxi Securities Regulatory Bureau has issued administrative regulatory measures against Guo Xin Securities Co., Ltd. due to violations of securities advisory regulations by its employees [1][3]. Group 1: Regulatory Actions - Wang Huaxin, while working at Guo Xin Securities, provided investment advisory services without being registered with the China Securities Association, violating multiple regulations [1][3]. - Wang Huaxin is required to attend a regulatory interview at the Jiangxi Securities Regulatory Bureau on January 6, 2026, and this incident will be recorded in the securities and futures market integrity archive [3][6]. - Lou Jian, as the general manager of Guo Xin Securities' Jiangxi branch, recommended unregistered personnel to provide investment advisory services, which also constitutes a regulatory violation [3][6]. Group 2: Company Overview - Guo Xin Securities has a registered capital of 5.841 billion yuan and is headquartered in Beijing, controlled by China Guoxin Holdings Limited [6]. - As of the end of 2024, Guo Xin Securities operates 18 branches and 64 business offices, with subsidiaries in private equity, alternative investments, and futures, as well as a stake in a public fund company [6]. - The company reported a consolidated revenue of 1.751 billion yuan and a net profit of 320 million yuan for the year 2024 [6].