江海证券哈尔滨世茂大道证券营业部收警示函 因员工营销违规及合规管理不足

Group 1 - The core issue identified is the insufficient compliance effectiveness in personnel management and customer service at the Harbin Shimao Avenue Securities Business Department of Jianghai Securities Co., Ltd [1][2] - The regulatory authority, Heilongjiang Securities Regulatory Bureau, found that the business department failed to timely detect and effectively prevent employee marketing violations in securities brokerage [2] - As a regulatory measure, the business department is required to strengthen compliance internal control management and report the rectification status in writing within 30 days of receiving the decision [3]