The Shenzhen Securities Regulatory Bureau issued a decision on the measures taken against Huaxin Securities Co., Ltd. for issuing a warning letter. The company has the following issues when engaging in securities brokerage business: first, the relevant systems for brokerage business are not updated in a timely manner. Second, personnel management is inadequate. Some compliance staff in the brokerage headquarters were not assessed overall by the compliance leader; the performance evaluation and compensation distribution of securities brokerage personnel did not adequately reflect compliance management and clean business operation requirements. Third, there are anomalies in the suitability test results of some investors, but the company did not take appropriate measures to understand and warn of the risks.