Core Viewpoint - Multiple regulatory measures have been disclosed by the securities regulatory authorities in Hainan, Anhui, and Dalian, targeting violations related to "improper client solicitation" and "improper client services" by several securities firms [2][8]. Group 1: Regulatory Actions - Hainan Securities Regulatory Bureau issued a penalty against Aoy Yi, a former employee of Caida Securities' Hainan branch, for privately accepting client commissions for trading, resulting in a warning and a fine of 150,000 yuan [3][5]. - Aoy Yi engaged in unauthorized trading activities from December 2019 to May 2024, with total trading amounts reaching approximately 329 million yuan and a total loss of about 2.72 million yuan [6]. - Anhui Securities Regulatory Bureau issued penalties to Zhongshan Securities' Hefei branch and its manager, Huang Li, for improper solicitation activities and inadequate management of employees, requiring a written rectification report by September 1, 2025 [7]. Group 2: Violations and Trends - Zhongshan Securities' Hefei branch was found to have violated regulations by outsourcing client solicitation activities, while Southwest Securities' Dalian branch was penalized for improper solicitation through bank personnel [8]. - The frequency of "improper client solicitation" violations has been a focus of regulatory scrutiny, with recent incidents involving multiple securities firms, indicating a persistent issue despite regulatory pressure [8][9]. - The revised "Securities Company Classification Evaluation Regulations" emphasize risk management and compliance, with penalties for firms that violate regulations impacting their evaluation scores [9].