根据中国证券监督管理委员会山西监管局在2025年8月8日发布的公告,晋商银行股份有限公司收到了出具警示函的监管措施。经查,该行存在基金销售部门负责人未取得基金从业资格履职的情形,并且在对基金销售部门负责人进行调整时,未报送相关人员免职、任职的备案材料。上述行为违反了《公开募集证券投资基金销售机构监督管理办法》和《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》的相关规定。监管局要求...
Source Link根据中国证券监督管理委员会山西监管局在2025年8月8日发布的公告,晋商银行股份有限公司收到了出具警示函的监管措施。经查,该行存在基金销售部门负责人未取得基金从业资格履职的情形,并且在对基金销售部门负责人进行调整时,未报送相关人员免职、任职的备案材料。上述行为违反了《公开募集证券投资基金销售机构监督管理办法》和《证券基金经营机构董事、监事、高级管理人员及从业人员监督管理办法》的相关规定。监管局要求...
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