恒泰证券太原南中环街营业部杨旭东因私下分配协同业务激励被出具警示函

财中社
Aug 08

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,杨旭东因在恒泰证券股份有限公司太原南中环街证券营业部工作期间,未经公司批准私下分配协同业务激励,受到出具警示函的监管措施。该行为违反了《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》第26条第1项及《证券期货经营机构及其工作人员廉洁从业规定》第12条第7项的相关规定。杨旭东需对此问题进行认真整改,并在收到决定书后...

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