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And the market manager who was punished, he knew he was breaking the law, didn't he? I guess the sales commission was too tempting for the marketing manager to be blinded. Chen Yi thought of this and couldn't help but shake his head helplessly, he now remembered what the boss said two days ago when he was eating at an old friend's restaurant, he forgot the original words, he still remembered the general meaning of the boss said: "This market is very complicated, he Chen Yi is too young, a lot of experience is lacking, need to pay more attention, be more careful. "

Chen Yi thought about what the boss said and couldn't help but feel a bit sad, he seemed to have understood a bit shallow at that time.

Chen Yi continued to look at the details of Ruiming Investment's past cases of market managers, the more he looked at the more alarmed, although he has great trust in the law and the rulings made by regulatory bodies, to see that these rulings are all due to the personal reasons of these market managers to cause these problems, these things have nothing to do with the company, but a company's a position every once in a while there will be problems, this situation is reasonable?

Chen Yi had never worked for another company and did not know whether the situation of other companies in the industry was similar or not, but he clearly felt that this phenomenon did not make sense, but he also did not know exactly what went wrong, so he could only continue to look at the history of the regulatory agencies and the details of the case related to Ruiming Investment.

The fourth market manager who was penalized was punished for failing to double record his investors. Dual recording refers to audio and video recording, which is generally required when introducing a product to investors and advising them of the risks involved, in order to leave a trail of evidence that can be submitted to the regulator if things go wrong later.

This double recording has two meanings: first, to protect investors, in case the fund salesperson does something that violates laws and regulations, and to prevent investors from having no evidence in the future, the double recording can be kept as evidence.

The second layer of significance is to protect fund sales staff, because to prevent some risks obviously prompted, customers have also expressed approval, but after the customer forgot, or once the fund losses, the customer does not admit that the fund sales staff prompted the risk, do not admit their own approval, bite, so that if there is no double-recorded video and audio evidence, then the fund sales staff even if the whole body is mouth is not clear, this kind of thing, the two sides stubbornly regulatory agencies will also have a headache, for simply do not know who to believe.

Therefore, the regulator requires fund sales organizations to make dual recordings, that is, audio and video recordings, when conducting fund sales. In other words, according to the regulation, if there is no audio and video recording, regardless of whether there are any violations in the sales promotion process, then it is the responsibility of the fund sales staff.

The fourth fund salesperson who was punished by the regulator, he was punished by the regulator precisely because he did not make audio and video recordings when selling funds.

When he saw this regulatory case, Chen Yi broke out in a cold sweat, the sales roadshow he went to do should be counted as part of the fund sales, but no one told him to make audio and video recordings, and he didn't keep these materials himself, so does that mean he has now violated the laws and regulations? If the regulators come to investigate, won't they be penalized as well?

Chen Yi was in a cold sweat when he thought of this, and the more he thought about it, the more scared he became, and he couldn't sit still anymore.

He didn't know what to do, he didn't know who to look for, and the first thing that came to his mind was neither Li Shan nor the fat uncle from Shanghai Securities, but Wang Ze. He knew that Wang Ze was a wind controller, and that Wang Ze's job was risk control, interpreting the relevant documents of the regulatory authorities and avoiding risks for the company.

So Chen Yi didn't wait any longer and got up and walked to Wang Ze. Chen Yi was very scared and didn't know how to open his mouth.

Wang Ze looked at Chen Yi standing in front of him and was a bit stunned, he didn't know why Chen Yi wanted to come to him, Wang Ze looked at Chen Yi's white face and smiled slightly, "What's wrong Yi? Not looking too good? Is it sick?"

Chen Yi shook his head, a bite or the original thing to say, expressed his own in the sales roadshow is not recorded video, he felt there may be problems, he may be punished by the regulatory agencies, he is very worried.

Wang Ze heard a slight stunned, smiled and said: "I didn't think you would pay attention to the company's past relevant cases, Yi, do you know why we chose to do proxy sales in Shanghai Trust Securities?".

Chen Yi said: "I'm not sure about the details, but I guess it's nothing more than the following. Firstly, the family has been working together for a long time, or has some acquaintances and connections, and the cake was eaten by anyone, so why not give it to someone you know? Secondly, their influence is bigger and their sales ability is stronger, so we choose them in order to sell our products better. Thirdly, their customers have requirements and want to buy our company's products. In other words, we didn't find them, but they found us." Chen Yi said, looking at Wang Ze quietly.

He knew that Wang Ze wouldn't ask irrelevant questions at this moment, so there must be a reason for him to do so. Wang Ze nodded his head after hearing Chen Yi's words, "Your analysis is correct, but there is a missing perspective."

Chen Yi didn't understand what was missing. What he said was all he had thought about, from the perspective of the interests of both sides, he didn't think anything was missing, but since Wang Ze had said so, he must have missed something.

He looked at Wang Ze silently and waited for him to continue. Wang Ze paused and said, "What you haven't considered is the issue of compliance, which by definition means conforming to the rules. We have been in contact with Shin Securities before, and occasionally cooperated with them, but we have never had any long-term, in-depth cooperation, that is, in the case you mentioned, after the market manager was punished, the company only noticed the problem of audio and video recording. If it's not recorded because of equipment or personnel, wouldn't we have to take the risk and be responsible for it?"

Chen Yi nodded his head, hearing this Chen Yi's face had already looked much better, he already knew roughly what Wang Ze wanted to say.

Wang Ze said, "What do you think this is?" Wang Ze clicked on it and turned to the side so that Chen Yi could watch it more conveniently.

Chen Yi put his head together and found that the video Wang Ze had opened was the video of his sales roadshow that day. The video was shot from an overhead perspective and was so comprehensive that not only Chen Yi but also the audience was filmed in it. The video was so clear that not only Chen Yi but also the audience was filmed in it. The angle of the video should be from the camera on the ceiling.

Although Chen Yi had some preparations and expectations after hearing Wang Ze's words, he was still relieved when he saw the video himself, and a big stone fell from his heart.

Wang Ze saw Chen Yi breathed a sigh of relief: "Don't worry, as a wind control post is not a job, I've already been punished once for a problem, so how can I allow a second one to occur? You can rest assured that the problems that the company has had, the reason why it has been punished, will never occur again, every time there is a problem, our management will be more perfect, you also know that this time, private equity also just developed not a few years well.

So many things are still not perfect, but with the gradual increase of experience, our relevant systems and preparations will be gradually perfected."

Chen Yi didn't catch Wang Ze's meaning. Wang Ze seemed to be saying that there was no problem, but Chen Yi didn't think about why the problems that had already appeared in the company wouldn't appear again. Since regulators are open and transparent about the penalties imposed on each institution, shouldn't the problems of other institutions be used as a reference to improve the company's systems and avoid risks? Chen Yi did not expect these. Wang Ze also didn't say anything.

Chen Yi nodded his head, thanked Wang Ze, and was about to return to his seat when Wang Ze suddenly asked, "Yi, how did you come up with the idea to look into the cases of those regulatory agencies?" Wang Ze thought that Chen Yi would look up the past cases because he sensed that something was wrong, but he was not sure yet.

Chen Yi said that he had just seen the suspected financial fraud and bribery of "Decoration Design", and that the history of the company had been dug up by the financial media and news reporters, and that he had just looked into it to see what kind of problems had happened in the past, and wanted to fill in the gaps and improve himself.

Wang Ze said, "Oh, that's right. So that's how it is, you don't have to worry about the investment, Li Shan and his side will handle it well."

Chen Yi nodded his head to show that he understood and went back to work.

Chen Yi didn't know that the moment he turned around, Wang Ze, who had been smiling calmly, suddenly sank, and he turned on the news to check the news Chen Yi had just told him.

The more Wang Ze looked at his face, the more ugly it was, this has never happened before, if it was simply because the company heavily positioned in a stock by others in the same industry to stare at it was just fine, this is not a big deal, at least he has nothing to do with it, but this company thunderstorm, and Ruiming Investment's previous market manager's things have also been turned out, this is more trouble, the market manager out of so many things, of course, is the market manager's problem, but as a risk aversion to the company's wind control.