近日，江西证监局官网发布两则行政监管措施公告，涉及国新证券股份有限公司(原华融证券股份有限公司，下称"国新证券")。 经查，王华鑫在国新证券南昌绿茵路证券营业部任职期间，未在中国证券业协会注册登记为证券投资顾问的情况下向客户提供证券投资顾问服务，私下接 受客户委托从事证券基金投资。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款的规定，江西证监局决定对楼健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。 上述行为违反《证券投资顾问业务暂行规定》(证监会公告〔2010〕27号)第七条、《证券经纪人管理暂行规定》(证监会公告〔2020〕20号)第十二条第一 项以及《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》(证监会令第195号)第二十六条第五项的规定。 根据《证券投资顾问业务暂行规定》第三十三条、《证券经纪人管理暂行规定》第二十四条第一款以及《证券基金经营机构董事、监事、高级管理人员及 从业人员监督管理办法》第五十一条第一款的相关规定，江西证监局决定对王华鑫采取监管谈话的行政监管措施，并记入证券期货市场诚信档案。王华鑫 应携带有效身份证件于2026年1月6日1 ...

上述行为违反《证券投资顾问业务暂行规定》（证监会公告〔2010〕27号）第七条、《证券经纪人管理 暂行规定》（证监会公告〔2020〕20号）第十二条第一项以及《证券基金经营机构董事、监事、高级管 理人员及从业人员监督管理办法》（证监会令第195号）第二十六条第五项的规定。 近日，江西证监局官网发布两则行政监管措施公告，涉及国新证券股份有限公司（原华融证券股份有限 公司，下称"国新证券"）。 经查，王华鑫在国新证券南昌绿茵路证券营业部任职期间，未在中国证券业协会注册登记为证券投资顾 问的情况下向客户提供证券投资顾问服务，私下接受客户委托从事证券基金投资。 上述行为违反了《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133号）第十条第二款 的规定。 根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条第一款的规定，江西证监局决定对 楼健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。 据国新证券官网，该公司注册资本58.41亿元，总部设在北京，实际控制人为中国国新控股有限责任公 司。 根据《证券投资顾问业务暂行规定》第三十三条、《证券经纪人管理暂行规定》第二十四条第一款以及 《证券基金 ...

Core Points - The Xiamen Securities Regulatory Bureau has taken corrective measures against Zhongshan Securities Co., Ltd. Xiamen Branch for compliance failures, including allowing employees to solicit clients through unauthorized individuals and circumventing internal management regulations [1][2] - Specific individuals, Su Xiaolei and Ma Minhua, have received warning letters for their roles in these violations, with Su acting as an investment advisor and Ma as the branch manager [2][9] Summary by Sections Compliance Violations - Zhongshan Securities Xiamen Branch was found to have inadequate compliance controls, allowing employees to engage in client solicitation through individuals other than licensed brokers, which violates multiple regulatory provisions [1][2] - Su Xiaolei, as an investment advisor, was specifically noted for soliciting clients through unauthorized individuals, breaching the Securities Brokerage Business Management Measures [7] - Ma Minhua, as the branch manager, was held responsible for circumventing internal regulations and allowing such practices, violating the Supervisory Management Measures for Directors, Supervisors, and Senior Management Personnel [2][9] Regulatory Actions - The Xiamen Securities Regulatory Bureau has mandated corrective actions for Zhongshan Securities and issued warning letters to both Su Xiaolei and Ma Minhua, with the violations recorded in their integrity files [2][9] - The actions taken are in accordance with various regulatory measures, including the Securities Brokerage Business Management Measures and the Compliance Management Measures for Securities and Fund Management Companies [3][4]

Core Points - Chongqing Securities Regulatory Bureau issued a warning letter to Zhongyin International Securities Co., Ltd. (stock code: 601696.SH) due to violations related to improper use of client securities accounts and inadequate internal management [1] - Securities practitioner Peng Yi was ordered to rectify his actions for similar violations, which included using others' securities accounts and improperly managing client accounts [2] Summary by Category Company Actions - Zhongyin Securities' Chongqing branch was found to have employees using others' securities accounts for trading, reflecting weak internal management and failure to monitor abnormal trading activities effectively [1] - The Chongqing Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure, emphasizing the need for improved compliance and personnel management [1] Individual Actions - Peng Yi, a securities practitioner associated with Zhongyin Securities, was found to have engaged in similar violations, leading to a directive for correction and a record in the securities market integrity file [2][3] - The violations included using others' accounts for trading and improper handling of client accounts, breaching multiple regulations [2]

Core Viewpoint - The Shanxi Securities Regulatory Bureau issued a warning letter to Zou Hui, an employee of Guosen Securities, for operating another person's securities account, which violates compliance regulations [1] Summary by Relevant Sections - **Regulatory Action** - The warning letter was issued due to Zou Hui's actions while working at Guosen Securities' Taiyuan Changxing South Street branch [1] - The behavior was found to be in violation of Article 10, Paragraph 2 of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] - As a result, the regulatory authority decided to implement supervisory measures by issuing a warning letter and recording it in the integrity file of the securities and futures market [1]

Core Points - The Shanxi Securities Regulatory Bureau issued a warning letter to Zou Hui for operating other people's securities accounts while working at Guosen Securities Co., Ltd. [1][2] - This action violated the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies, specifically Article 10, Paragraph 2 [1][2] - The regulatory authority decided to impose supervisory measures and record the incident in the securities and futures market integrity file [1][2] Regulatory Actions - Zou Hui is required to take the issue seriously and rectify the problems, submitting a written rectification report within one month of receiving the decision [2] - If Zou Hui disagrees with the supervisory measures, he can apply for administrative reconsideration within 60 days or file a lawsuit within six months [2] - The execution of the supervisory measures will not be suspended during the reconsideration or litigation period [2]

Core Points - The Guangdong Securities Regulatory Bureau has imposed corrective measures on Yingda Securities Co., Ltd. Dongguan Dongcheng Securities Business Department due to inadequate monitoring of employee investment behaviors and insufficient compliance training for brokers [1][4] - Liu Biao has been identified as an inappropriate candidate due to disseminating improper market information through social media, leading to significant negative impact [2][6] Summary by Sections Issues Identified - The Dongguan Dongcheng Securities Business Department failed to adequately monitor the investment behaviors of its employees, including insufficient verification of communication device information [1][4] - There was a severe lack of compliance training for brokers in 2024, which did not cover all brokers in the department [1][4] - Management of employees' social media accounts was inadequate, lacking proper compliance training and monitoring mechanisms [1][4] Regulatory Actions - The Guangdong Securities Regulatory Bureau has mandated corrective actions based on violations of several regulatory guidelines, including the "Supervision Management Measures for Directors, Supervisors, Senior Management Personnel, and Practitioners of Securities and Fund Management Institutions" [2][4] - Liu Biao has been barred from holding customer development service-related positions in securities companies for two years due to his actions [3][6] Compliance Requirements - The Dongguan Dongcheng Securities Business Department is required to submit a rectification plan within 30 days of receiving the decision, and the bureau will check compliance based on the situation [5] - Liu Biao has the right to appeal the regulatory measures within 60 days or file a lawsuit within six months [6][5]

Core Points - The article discusses the recent penalty imposed by the Liaoning Securities Regulatory Bureau on Ai Mouhua, a former financial officer at Wangxin Securities, for violations related to financial accounting and misconduct [1][2][3] Group 1: Penalty Details - On October 10, the Liaoning Securities Regulatory Bureau issued a decision recognizing Ai Mouhua as an inappropriate candidate, prohibiting him from serving as a financial department head in a securities company for 15 years [3][5] - The violations included improper accounting for buyout repurchase transactions and failure to recognize corresponding financial liabilities, which contravened multiple accounting standards [2][5] - Ai Mouhua was also found guilty of accepting bribes and seeking improper benefits, violating the regulations on integrity in the securities and futures industry [2][4] Group 2: Previous Penalties and Appeals - Ai Mouhua had previously received a similar penalty at the end of 2022, which he contested through an administrative review to the China Securities Regulatory Commission (CSRC) [4][6] - The CSRC ruled in May 2023 to revoke the earlier penalty, citing issues with the clarity of the penalty facts and the timing of responsibility attribution [6][7] - Following the CSRC's decision, the Liaoning Securities Regulatory Bureau was instructed to reassess the case and issue a new penalty [7]

Core Viewpoint - The article discusses the recent penalty imposed by the Liaoning Securities Regulatory Bureau on Ai Mouhua, a former financial officer at Wangxin Securities, for violations related to financial accounting and misconduct, marking a significant regulatory action after a previous penalty was revoked by the China Securities Regulatory Commission (CSRC) [1][3][9]. Summary by Sections - **Penalty Details**: On October 10, the Liaoning Securities Regulatory Bureau issued a penalty against Ai Mouhua for two main issues: improper accounting practices related to buyout repurchase transactions and accepting bribes for personal gain, both of which violate relevant regulations [3][4]. - **Previous Penalty**: Ai Mouhua had previously received a penalty at the end of 2022 for similar issues, including failure to properly account for financial transactions and accepting bribes, which led to a proposed 15-year ban from holding financial department leadership positions in securities firms [6][7]. - **Revocation of Previous Penalty**: In May 2023, the CSRC revoked the earlier penalty against Ai Mouhua, citing that the original decision did not adequately address the severity of the misconduct, particularly regarding the acceptance of bribes, and mandated the Liaoning Bureau to reassess the case [9][8].

Group 1 - Multiple penalties have been issued by local securities regulatory authorities against three brokerage firms, including CITIC Securities [1] - CITIC Securities (Shandong) Jinan Branch was penalized for allowing unqualified employees to conduct fund sales and failing to use standardized promotional materials [2] - Financial Compliance issues were identified at Caitong Securities, particularly concerning its overseas subsidiaries, leading to a warning from the Zhejiang Securities Regulatory Bureau [3] Group 2 - CITIC JianTou Securities faced penalties for failing to diligently supervise Sunshine Zhongke, which resulted in significant operational disruptions and non-disclosure of critical information [4] - The penalties included administrative warnings and requirements for the firms to enhance compliance management and rectify identified issues [2][3][4] - Key personnel at Caitong Securities and CITIC JianTou Securities were also held accountable and received warnings for their management responsibilities [3][4]