中證(zheng)(zheng)網訊（記者 趙中昊）據深(shen)圳證(zheng)(zheng)監局(ju)官(guan)網22日(ri)消息(xi)，興業證(zheng)(zheng)券深(shen)圳分公司因存(cun)在變更(geng)營業場所未申請(qing)換領證(zheng)(zheng)券經營許可(ke)證(zheng)(zheng)等問題，被深(shen)圳證(zheng)(zheng)監局(ju)出具警示函(han)。

　　深(shen)圳證(zheng)(zheng)監局表示(shi)，興業證(zheng)(zheng)券(quan)深(shen)圳分(fen)(fen)公(gong)司(si)上(shang)述行(xing)為違反了《證(zheng)(zheng)券(quan)公(gong)司(si)和證(zheng)(zheng)券(quan)投(tou)資基(ji)金(jin)管(guan)(guan)(guan)理(li)公(gong)司(si)合規(gui)(gui)管(guan)(guan)(guan)理(li)辦法(fa)》第六條(tiao)、《證(zheng)(zheng)券(quan)公(gong)司(si)分(fen)(fen)支(zhi)機構監管(guan)(guan)(guan)規(gui)(gui)定(ding)》第九條(tiao)規(gui)(gui)定(ding)。根(gen)據《證(zheng)(zheng)券(quan)公(gong)司(si)和證(zheng)(zheng)券(quan)投(tou)資基(ji)金(jin)管(guan)(guan)(guan)理(li)公(gong)司(si)合規(gui)(gui)管(guan)(guan)(guan)理(li)辦法(fa)》第三十二條(tiao)、《證(zheng)(zheng)券(quan)公(gong)司(si)分(fen)(fen)支(zhi)機構監管(guan)(guan)(guan)規(gui)(gui)定(ding)》第十七(qi)條(tiao)規(gui)(gui)定(ding)，決(jue)定(ding)對其采取出具(ju)警示(shi)函(han)的行(xing)政監管(guan)(guan)(guan)措施。