再遭监管警示!光大证券年内已3次因营业部合规问题被点名

新浪证券
23 Apr

光大证券再曝合规漏洞,旗下营业部遭监管问责。4月23日,广西证监局披露的一份文件显示,光大证券南宁金浦路证券营业部存在向客户介绍人支付报酬,在开展融资融券业务过程中为客户“绕标套现”提供便利,客户回访不规范、不到位等违规行为。对此,广西证监局对该营业部采取出具警示函的监管措施,并记入证券期货市场诚信档案。要求营业部高度重视上述问题,引以为戒,切实整改,强化人员管理,开展违规问责,完善内部合规管理,...

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