Guotai Haitong Xinjiang Branch has received a warning letter from the Xinjiang Securities Regulatory Bureau due to an employee's unauthorized operation of client securities accounts. This conduct reflects inadequate management of practitioners and lax compliance and risk control by the company, violating relevant provisions of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies.
Guotai Junan Securities Co LtdXinjiang branch received a warning letter for employee's unauthorized client account operations, indicating regulatory compliance failures.