2025年12月31日,深圳证监局官网发布的行政监管措施显示,中泰期货股份有限公司(证券简称:中泰期货,港股代码:01461)深圳分公司被出具警示函。经查,中泰期货深圳分公司存在个别客户经理指导客户填写风险测评问卷,对客户回访管理不到位,对互联网营销第三方合作机构尽调不充分等问题,反映出该公司对交易者适当性管理、互联网营销业务管理不完善、内部控制存在不足。上述行为违反了《期货公司监督管理办法》(...
Source Link2025年12月31日,深圳证监局官网发布的行政监管措施显示,中泰期货股份有限公司(证券简称:中泰期货,港股代码:01461)深圳分公司被出具警示函。经查,中泰期货深圳分公司存在个别客户经理指导客户填写风险测评问卷,对客户回访管理不到位,对互联网营销第三方合作机构尽调不充分等问题,反映出该公司对交易者适当性管理、互联网营销业务管理不完善、内部控制存在不足。上述行为违反了《期货公司监督管理办法》(...
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