因向客户介绍人支付报酬等问题,光大证券一营业部被监管出具警示函

滚动播报
23 Apr

转自:北京商报

北京商报讯(记者 郝彦)4月23日,广西证监局发布公告表示,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。

上述情形不符合规定,广西证监局决定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。

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