#TRS_AUTOADD_1636357639343 P {LINE-HEIGHT: 1.5; MARGIN-TOP: 6px; FONT-FAMILY: 宋体; MARGIN-BOTTOM: 6px; FONT-SIZE: 10.5pt}#TRS_AUTOADD_1636357639343 TD {LINE-HEIGHT: 1.5; MARGIN-TOP: 6px; FONT-FAMILY: 宋体; MARGIN-BOTTOM: 6px; FONT-SIZE: 10.5pt}#TRS_AUTOADD_1636357639343 DIV {LINE-HEIGHT: 1.5; MARGIN-TOP: 6px; FONT-FAMILY: 宋体; MARGIN-BOTTOM: 6px; FONT-SIZE: 10.5pt}#TRS_AUTOADD_1636357639343 LI {LINE-HEIGHT: 1.5; MARGIN-TOP: 6px; FONT-FAMILY: 宋体; MARGIN-BOTTOM: 6px; FONT-SIZE: 10.5pt}#TRS_AUTOADD_1636357639343 {LINE-HEIGHT: 1.5; MARGIN-TOP: 6px; FONT-FAMILY: 宋体; MARGIN-BOTTOM: 6px; FONT-SIZE: 10.5pt}/**---JSON--{"p":{"font-family":"宋体","font-weight":"","font-size":"10.5pt","line-height":"1.5","direction":"","margin-top":"6px","margin-bottom":"6px","text-indent":""},"td":{"font-family":"宋体","font-weight":"","font-size":"10.5pt","line-height":"1.5","direction":"","margin-top":"6px","margin-bottom":"6px","text-indent":""},"div":{"font-family":"宋体","font-weight":"","font-size":"10.5pt","line-height":"1.5","direction":"","margin-top":"6px","margin-bottom":"6px","text-indent":""},"li":{"font-family":"宋体","font-weight":"","font-size":"10.5pt","line-height":"1.5","direction":"","margin-top":"6px","margin-bottom":"6px","text-indent":""},"":{"font-family":"宋体","font-weight":"","font-size":"10.5pt","line-height":"1.5","direction":"","margin-top":"6px","margin-bottom":"6px","text-indent":""}}--**/〔2021〕177号
方正证券股份有限公司北京证券资产管理分公司：
经查，你分公司存在变更营业场所未申请换发经营证券期货业务许可证等问题。上述行为违反了《证券公司分支机构监管规定》（证监会公告〔2020〕66号）第九条的规定，根据《证券公司分支机构监管规定》第十七条规定，我局决定对你分公司采取出具警示函的行政监管措施。你分公司应切实提高合规意识，健全合规管理机制，杜绝此类事项发生。
如果对本监管措施不服，可在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复议申请，也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间，上述监管措施不停止执行。
中国证监会北京监管局
2021年11月5日
