深圳证监局官网10月31日公布的监管措施公告显示,金瑞期货股份有限公司(下称“金瑞期货”)日前被出具警示函。经查,金瑞期货存在投资者风险测评问卷选项设有引导语句,个别客户经理指导客户填写、修改投资者风险测评问卷,个别无交易咨询业务资格员工向客户发送期货品种行情分析信息,对客户实际控制关系管理不到位,反洗钱系统风控参数设置缺少复核等问题,反映出公司对交易者适当性管理不完善、内部控制存在不足,违反了《...
Source Link深圳证监局官网10月31日公布的监管措施公告显示,金瑞期货股份有限公司(下称“金瑞期货”)日前被出具警示函。经查,金瑞期货存在投资者风险测评问卷选项设有引导语句,个别客户经理指导客户填写、修改投资者风险测评问卷,个别无交易咨询业务资格员工向客户发送期货品种行情分析信息,对客户实际控制关系管理不到位,反洗钱系统风控参数设置缺少复核等问题,反映出公司对交易者适当性管理不完善、内部控制存在不足,违反了《...
Source LinkDisclaimer: Investing carries risk. This is not financial advice. The above content should not be regarded as an offer, recommendation, or solicitation on acquiring or disposing of any financial products, any associated discussions, comments, or posts by author or other users should not be considered as such either. It is solely for general information purpose only, which does not consider your own investment objectives, financial situations or needs. TTM assumes no responsibility or warranty for the accuracy and completeness of the information, investors should do their own research and may seek professional advice before investing.