北京商报讯(记者 郝彦)9月30日,大连证监局发布公告表示,中国中金财富证券大连港兴路证券营业部存在以下违规事项:营业部员工樊星在从业过程中,存在未取得证券投资顾问资格、基金从业资格,而向投资者提供证券投资建议、从事基金销售相关业务;未严格履行投资者适当性管理义务;在销售产品过程中存在夸大宣传、宣传保本保收益;推荐第三方操作客户账户、代客理财等问题。此外,该营业部对于专业投资者认定事项未尽管理职责...
Source Link北京商报讯(记者 郝彦)9月30日,大连证监局发布公告表示,中国中金财富证券大连港兴路证券营业部存在以下违规事项:营业部员工樊星在从业过程中,存在未取得证券投资顾问资格、基金从业资格,而向投资者提供证券投资建议、从事基金销售相关业务;未严格履行投资者适当性管理义务;在销售产品过程中存在夸大宣传、宣传保本保收益;推荐第三方操作客户账户、代客理财等问题。此外,该营业部对于专业投资者认定事项未尽管理职责...
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