【导读】晋商银行因两项基金销售业务违规收警示函中国基金报记者 王建蔷因基金销售业务存在两项违规,晋商银行被山西证监局采取出具警示函的行政监管措施。晋商银行被警示日前,山西证监局披露一则处罚决定书。处罚信息显示,经查,晋商银行存在以下问题:基金销售部门负责人未取得基金从业资格履职;对基金销售部门负责人进行了调整,未报送相关人员免职、任职的备案材料。上述情形违反了相关规定。根据《公开募集证券投资基金...
Source Link【导读】晋商银行因两项基金销售业务违规收警示函中国基金报记者 王建蔷因基金销售业务存在两项违规,晋商银行被山西证监局采取出具警示函的行政监管措施。晋商银行被警示日前,山西证监局披露一则处罚决定书。处罚信息显示,经查,晋商银行存在以下问题:基金销售部门负责人未取得基金从业资格履职;对基金销售部门负责人进行了调整,未报送相关人员免职、任职的备案材料。上述情形违反了相关规定。根据《公开募集证券投资基金...
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