廉洁从业内控制度不完善 国联民生证券被责令整改

经济参考报
27 Jun

作为国联证券与民生证券合并后收到的首份罚单,国联民生证券(601456.SH)的合规管理再度敲响警钟。日前,江苏证监局官网披露,国联民生证券因重大事项未报告,以及廉洁从业内部控制制度不完善,部分费用的支出未制定明确的内部决策流程和具体标准等事由,被监管采取责令改正行政监管措施,并记入证券期货市场诚信档案。截图来自江苏证监局网站据悉,作为新“国九条”后首家完成并购重组的券商,国联民生证券在今年2月...

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