6月27日晚间，浙江证监局接连发布了三张罚单，均是因为同一问题。 中信证券绍兴分公司从业人员吴某在从业期间，存在向客户提供投资知识测试或开户知识测评答案、向客户返 还业绩奖励、向未和公司签订投顾协议的客户提供投资建议的违规行为。该从业人员被责令改正，所在的中信 证券绍兴分公司也被责令改正。此外，中信证券浙江分公司也因所辖分支机构合规管理不到位而被责令改正。 "保持监管执法高压态势，坚持机构罚和个人罚、经济罚和资格罚、监管问责和自律惩戒并重，强化全链条问 责，对无视、损害公众投资者利益的机构与个人依法坚决予以严厉打击。"建设一流投行和投资机构的意见指 出。 从业者本人被罚 近日，浙江证监局发布了《关于对吴某采取责令改正措施的决定》。 经查，吴某在中信证券绍兴分公司从业期间，存在向客户提供投资知识测试或开户知识测评答案、向客户返还 业绩奖励、向未和公司签订投顾协议的客户提供投资建议的违规行为，违反了《证券公司和证券投资基金管理 公司合规管理办法》（证监会令第166号修正）第十条第二款、《证券经纪人管理暂行规定》（证监会公告 〔2020〕20号）第十一条、《证券期货经营机构及其工作人员廉洁从业规定》（证监会令第14 ...

近日，海南证监局发布了《关于对海南港澳资讯产业股份有限公司采取责令暂停新增客户措施的决定》。 该公司存在多项违规事项。个别员工开立经公司认证的自媒体账号存在收取直播打赏、电商带货佣金情 形；个别员工存在劝导客户使用借贷资金购买投顾产品情形；主要股东发生变更未向监管部门事先备案 等。最终，被证监局暂停新增客户3个月。 员工用公司认证账号收直播打赏 经查，海南港澳资讯产业股份有限公司存在一些违规事项。 公司未关注个别客户短期内风险承受能力评估问卷关键信息填写不一致；未妥善保存客户风险测评变更记录； 个别员工存在指导客户进行风险承受能力评估情形。上述行为违反了《证券期货投资者适当性管理办法》（证 监会令第202号）第三条和第三十二条的规定。 个别员工开立经公司认证的自媒体账号存在收取直播打赏、电商带货佣金情形；个别员工私下与第三方平台开 展与证券投资咨询服务相关业务合作。上述行为违反了《证券期货经营机构及其工作人员廉洁从业规定》（证 监会令第202号）第十条第四项的规定。 部分未在中国证券业协会注册登记为证券投资顾问的员工向客户提供投资建议，通过社交平台账号发布与提供 证券投资咨询服务相关的短视频或开展直播活动；部 ...

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative measures against Huaxi Securities' Yiwu Mall Avenue Securities Business Department for violations related to investor solicitation activities, highlighting compliance issues within the company [1][2][9]. Group 1: Violations and Measures - Huaxi Securities' Yiwu Mall Avenue Securities Business Department was found to have engaged in illegal solicitation activities by entrusting individuals outside of licensed securities brokers, violating Article 8, Item 7 of the Securities Brokerage Business Management Measures [1][6]. - The Zhejiang Securities Regulatory Bureau decided to issue a warning letter to the Yiwu Mall Avenue Securities Business Department and record this in the securities and futures market integrity file [1][6]. - Wei Qian, the head of the business department, is held responsible for the violations and is subject to corrective measures, which will also be recorded in the integrity file [7][8]. Group 2: Responsibilities of Management - Tong Xuejun, as the head of Huaxi Securities' Zhejiang branch, is responsible for the compliance operations of the business department and has been issued a warning letter for inadequate compliance management, violating Article 10, Paragraph 1 of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [2][9]. - The regulatory authority emphasized the need for both Wei Qian and Tong Xuejun to enhance compliance management and rectify the identified issues to prevent future violations [8][10].