违规使用他人账户谋利!东方证券一营业部从业人员被出具警示函

市场资讯
27 Apr

4月27日,江苏证监局发布公告,对东方证券股份有限公司江阴人民东路证券营业部从业人员马海雄采取出具警示函的行政监管措施,并记入证券期货市场诚信档案。公告显示,马海雄在东方证券股份有限公司江阴人民东路证券营业部从业期间,为客户借用他人股票期权账户提供便利。属于明知执业行为存在相关合规风险隐患的情况下,未主动控制合规风险,违反了《证券公司和证券投资基金管理公司合规管理办法》(证监会令第166号)第十条...

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