山西证监局披露《关于对晋商银行股份有限公司采取出具警示函措施的决定》。经查，晋商银行存在基金销售部门负责人未取得基金从业资格履职的情形。晋商银行对基金销售部门负责人进行了调整，未报送相关人员免职、任职的备案材料。根据《公开募集证券投资基金销售机构监督管理办法》第五十三条、《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》第五十一条第一款的规定，山西证监局决定对晋商银行采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。
山西证监局披露《关于对晋商银行股份有限公司采取出具警示函措施的决定》。经查，晋商银行存在基金销售部门负责人未取得基金从业资格履职的情形。晋商银行对基金销售部门负责人进行了调整，未报送相关人员免职、任职的备案材料。根据《公开募集证券投资基金销售机构监督管理办法》第五十三条、《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》第五十一条第一款的规定，山西证监局决定对晋商银行采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。
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