5月28日,浙江证监局发布公告,对光大证券股份有限公司丽水灯塔街证券营业部及营业部负责人雷海军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,光大证券股份有限公司丽水灯塔街证券营业部存在向非营销人员下达营销任务、费用管理不规范及不相容岗位部分职责未有效分离等问题,反映出营业部内部控制不完善、合规管理不到位,违反了《关于加强证券经纪业务管理的规定》(证监会公告〔2010〕11号,...
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