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因员工直播荐股 申港证券浙江分公司收警示函

Shengang Securities Zhejiang Branch received a warning letter due to a live broadcast from employees recommending stocks

Gelonghui Finance ·  Nov 17, 2023 09:20
Gelonghui November 17 | On November 15, the Zhejiang Securities Regulatory Bureau issued a decision on issuing a warning letter against Zhao Weizhen and a decision on issuing a warning letter to the Zhejiang branch of Shengang Securities. The Zhejiang Securities Regulatory Bureau said that Zhao Weizhen, an employee of the Zhejiang branch of Shengang Securities, engaged in securities investment advisory business through a live streaming account set up by the Zhejiang branch of Shengang Securities without registering as a securities investment advisor, and recommended individual stocks during the live broadcast, reflecting that the Zhejiang branch of Shengang Securities did not properly manage the qualifications and practice of employees. The Zhejiang Securities Regulatory Bureau decided to take supervisory and administrative measures by issuing a warning letter to the Zhejiang branch of Shengang Securities, and record it in the securities and futures market integrity file. The Zhejiang Securities Regulatory Bureau decided to take supervisory and administrative measures to issue a warning letter against Zhao Weizhen and record it in the securities and futures market integrity file.

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