违规委托个人招揽投资者,光大证券营业部员工收警示函

澎湃新闻
27 Jan

光大证券光大证券股份有限公司(简称“光大证券”,601788.SH)员工因违规招揽投资人被罚。据上海证监局近日公布的一份警示函,光大证券股份有限公司员工张欧,在上海金山区卫清西路证券营业部从业期间,存在违规委托证券经纪人以外的个人进行投资者招揽活动的情形,违反了《证券经纪业务管理办法》(证监会令第204号)第八条第七项的规定。根据《证券经纪业务管理办法》第四十四条的规定,上海证监局决定,对张欧采取...

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