8张罚单在一天内集中出炉。11月14日,浙江证监局连发布7张罚单,其中6张涉及上海证券及营业部和员工,1张涉及广发证券员工。同日,华福证券收到了厦门证监局的罚单。具体而言,浙江证监局发布《关于对上海证券有限责任公司采取出具警示函措施的决定》称,经查,上海证券有限责任公司(下称“上海证券”)瑞安塘下大道证券营业部在2017年至2021年间,存在多名员工违反廉洁从业规定的情况。“营业部廉洁从业等内部...
Source Link8张罚单在一天内集中出炉。11月14日,浙江证监局连发布7张罚单,其中6张涉及上海证券及营业部和员工,1张涉及广发证券员工。同日,华福证券收到了厦门证监局的罚单。具体而言,浙江证监局发布《关于对上海证券有限责任公司采取出具警示函措施的决定》称,经查,上海证券有限责任公司(下称“上海证券”)瑞安塘下大道证券营业部在2017年至2021年间,存在多名员工违反廉洁从业规定的情况。“营业部廉洁从业等内部...
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