员工违规代客理财,东方证券业务合规频敲警钟

财中社
Nov 11, 2025

11月6日,四川证监局公布了一则行政处罚决定书,显示东方证券(600958)前员工张沁存在私下代客理财的违规操作。这位90后证券从业人员在近五年时间内,操作客户账户进行证券买卖,累计成交金额高达28.32亿元,最终被罚没188.78万元。这并非东方证券首次因员工行为失范遭遇监管警示。从江苏到湖北,这家券商的多个分支机构近年来相继因合规漏洞被监管点名。张沁,出生于1990年9月,曾任职于东方证券,从...

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