因员工存在违规行为，江海证券一营业部及责任人被监管警示

Core Viewpoint - The Heilongjiang Securities Regulatory Bureau has issued a warning letter to Jianghai Securities Co., Ltd. Harbin Shimao Avenue Securities Business Department due to inadequate compliance in employee management and customer service, highlighting regulatory violations [3]. Group 1: Regulatory Actions - The Heilongjiang Securities Regulatory Bureau found that Jianghai Securities Harbin Shimao Avenue Securities Business Department failed to timely detect and effectively prevent employees from engaging in illegal activities in securities brokerage marketing [3]. - A warning letter has been issued as an administrative regulatory measure, requiring the department to enhance compliance and internal control management [3]. - The department must submit a written report on rectification within 30 days of receiving the decision [3]. Group 2: Individual Accountability - Wu Qian, a financial manager at Jianghai Securities Harbin Shimao Avenue Securities Business Department, was found to have acted dishonestly by providing false or misleading information to investors, violating relevant regulations [3]. - A warning letter has also been issued to Wu Qian as an administrative regulatory measure [3].