申万宏源孙公司再收罚单 利润高增难掩合规失守

财中社
Oct 21, 2025

10月15日,新疆证监局对申万宏源西部证券五家渠振兴街营业部出具警示函,指出该营业部存在委托银行工作人员进行客户招揽等违规行为。这已是申万宏源旗下机构今年来至少第四次收到监管/自律监管或行政处罚。从控股关系来看,申万宏源西部证券属于申万宏源(000166)的全资孙公司。在证监局披露的警示函中,申万宏源西部证券五家渠振兴街营业部的具体问题包括:委托银行人员揽客、前任负责人违规引入实习生并列支费用、...

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