华西证券投行业务执业质量三年连C 近一年两收警示函

Core Viewpoint - Huaxi Securities has been rated as a C-class institution for three consecutive years in the investment banking quality evaluation by the Securities Association, indicating ongoing issues with its operational standards [1]. Group 1: Regulatory Actions - The Zhejiang Securities Regulatory Bureau issued warning letters to Huaxi Securities' Yiwu Mall Avenue branch for allowing employees to solicit investors through unauthorized individuals [1]. - Wei Qian, the branch manager, was held responsible for the violations and received corrective administrative measures [2]. - The Chongqing Securities Regulatory Bureau also issued a warning to Huaxi Securities' Chongqing branch for similar misconduct involving employees soliciting clients through third parties [2]. Group 2: Compliance Issues - Tong Xuejun, the head of Huaxi Securities' Zhejiang branch, was penalized for inadequate compliance management of the branch's operations [2]. - Jiang Liang, a securities practitioner, faced corrective measures for privately accepting client orders and promising returns during his tenure [2][3]. - Despite the regulatory actions, Huaxi Securities confirmed that there is no employee named Jiang Liang currently working at the firm [3].