Share to WeChat
Open WeChat and click “Discover” at the bottom.
Use “Scan” to share web pages to your circle of friends.
11:52[Mae Swyddfa Rheoleiddio Gwarantau Shenzhen wedi cymryd mesurau i gyhoeddi llythyr rhybuddio i Adran Busnes Gwarantau Tsieina Merchants Securities Co., Ltd. Shenzhen Nanshan Nanyou Avenue]The Shenzhen Securities Regulatory Bureau has taken steps to issue a warning letter to the Securities Business Department of China Securities Traders Co., Ltd. Shenzhen Nanshan Nanyou Avenue. After investigation, it was found that the sales department had the following problems: First, some employees privately trusted others to solicit customers between 2021 and 2022; second, they did not properly handle investor complaints and disputes in a timely manner. The above problems reflect that the sales department does not have sufficient control of the professional behavior of employees, insufficient compliance control in marketing, customer service, handling complaints and other aspects, and has broken relevant regulations. In accordance with the provisions of Article 32, paragraph 1, of the “Compliance Management Measures” and Article 43 of the “Brokerage Business Measures”, the Shenzhen Securities Regulatory Bureau decided to take administrative supervision measures by issuing a warning letter to the business department. .
a report
#Shenzhen #Securities #Regulatory #Bureau #issued #warning #letter #China #Shenzhen #Nanshan #Nanyou #Avenue #Merchants #Securities #Business #Department
