) On December 13, the Jiangsu Securities Regulatory Bureau issued a notice stating that Yan Zhen, during his tenure at CITIC SEC Xuzhou Jianguo West Road Securities Branch (formerly known as CITIC SEC Xuzhou Jiefang South Road Securities Branch), violated regulations by privately accepting customer commissions for buying and selling securities. He was issued a warning letter by the regulators and recorded in the integrity file of the Securities and Futures market.
因私下接受客户委托买卖证券，中信证券一营业部员工被监管出具警示函
Due to privately accepting customer commissions for buying and selling securities, an employee at CITIC SEC received a warning letter from the regulators.
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