Core Viewpoint - The regulatory body maintains a "zero tolerance" policy towards securities practitioners accepting client commissions for trading, emphasizing compliance in the securities industry [1][4]. Group 1: Case Summary - A former manager of Caida Securities Hainan Branch, Ao Yi, was fined 150,000 yuan for privately accepting client commissions for trading, with total trading amounts reaching 329 million yuan and losses of approximately 2.72 million yuan [1][2][3]. - Ao Yi's violations occurred in two phases: from December 2019 to July 2020, he traded approximately 59.70 million yuan with a profit of about 15,600 yuan, followed by a significant loss phase from March 2020 to May 2024, trading around 269 million yuan with losses of approximately 2.73 million yuan [2][3]. Group 2: Regulatory Actions - Since the beginning of 2025, regulatory authorities have disclosed 11 cases of securities practitioners being penalized for privately accepting client commissions, involving well-known firms such as Huazheng Securities, Guoxin Securities, and CITIC Securities [1][4]. - In July 2025, the Henan Securities Regulatory Bureau announced two cases of violations, including one involving Wang Hui, who traded 1.97 million yuan without obtaining any profit share or remuneration [4][5].

近日，重庆证监局发布了《关于对熊某采取出具警示函措施的决定》。 处罚书称，经查，熊某在证券经营机构工作期间，作为证券从业人员，存在未经投资者的委托， 擅自为投资 者卖出股票以及伪造投资者股票交易对账单 的问题。上述行为违反了《证券经纪业务管理办法》相关规定。 根据上述规定，重庆证监局对熊某采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。 "你应切实强化证券法律法规知识学习，严格遵守法律法规，杜绝此类问题再次发生。"重庆证监局表示。 除此之外，券商中国记者还注意到，近期有多位证券从业人员被罚。 7月4日， 宁波证监局 发布了《关于对徐某采取出具警示函措施的决定》。经查，徐某在某券商宁波中山东路 证券营业部从业期间，在销售私募证券投资基金过程中存在误导性陈述并承诺投资收益的行为，违反了《证券 公司和证券投资基金管理公司合规管理办法》相关规定。 宁波证监局决定对徐某采取出具警示函的行政监管措施，并计入证券期货市场诚信档案。 7月1日， 厦门证监局 发布了《关于对张某采取出具警示函措施的决定》。经查，张某作为某券商厦门分公司 投资顾问，在公司未与客户签订证券投资顾问协议情况下通过个人微信向客户发送个股预测或 ...

Group 1 - The Hunan Securities Regulatory Bureau issued a warning letter to Chen Jiayou for using another person's name to open a securities account and trading stocks, violating relevant regulations [1] - The specific employment information of Chen Jiayou was not disclosed in the penalty notice, but records show a connection with Guoyuan Securities [1] - Multiple cases of securities practitioners being penalized for illegal trading activities have been reported this month, including actions against employees from Huazhong Securities and Guoyuan Securities [1] Group 2 - Wang Yang, while working at Guoyuan Securities, was penalized for not adhering to proper conduct and operating another person's securities account [2] - Tang Mengfei, during his tenure at Huazhong Securities, was also penalized for using another person's securities account to trade stocks [4]