今年以来，随着A股行情走高，不少券商出现违规招揽客户的情况。其中，委托证券经纪人以外的第三 方进行客户招揽成为主要违规情形。就此违规问题，"一事双罚"也渐成标配，监管打击力度正不断提 升。中经记者 罗辑 实习生 吴依凡 北京报道 根据决定书披露，华林证券上海分公司存在未严格规范员工执业行为的问题，其个别员工委托证券经纪 人以外的第三方进行客户招揽活动。同时，金某静在华林证券上海分公司（原华林证券上海南京西路证 券营业部）任职期间，存在委托证券经纪人以外的第三方进行客户招揽活动的情形。 上海证监局依据《证券公司和证券投资基金管理公司合规管理办法》，对华林证券上海分公司及金某静 采取出具警示函的处罚措施。 #华林证券被双罚#【涉违规招揽客户 又一券商华林证券被"双罚"】10月13日，上海监管局披露两份行 政监管措施决定，分别对华林证券股份有限公司上海分公司（以下简称"华林证券上海分公司"）及金某 静采取出具警示函的行政监管措施。 ...

Core Viewpoint - The Shanghai Securities Regulatory Bureau has issued administrative penalties in the form of warning letters to Huayin Securities Shanghai Branch and an individual named Jin Moujing for violations related to client solicitation practices [1] Summary by Relevant Sections Regulatory Actions - The Shanghai Securities Regulatory Bureau has taken administrative measures against Huayin Securities Shanghai Branch and Jin Moujing for not strictly regulating employee conduct [1] - The penalties were issued in accordance with the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] Violations Identified - Huayin Securities Shanghai Branch was found to have employees soliciting clients through third parties that are not registered securities brokers [1] - Jin Moujing, during her tenure at Huayin Securities Shanghai Branch, also engaged in client solicitation through unauthorized third parties [1] Industry Context - There has been an increase in violations among securities firms this year, particularly related to client solicitation as the A-share market has risen [1] - The practice of "double penalties" for such violations is becoming standard, indicating a heightened regulatory enforcement environment [1]