因私募基金销售等业务领域违规,金融街证券(原恒泰证券)近期连遭监管处罚。根据内蒙古、广东等地证监局下发的行政监管措施决定书,该券商多地分支机构及7名相关业务员工合计收到7份罚单。 具体来看,在私募基金销售方面,共有4份罚单指出了金融街证券各分支机构的多起违规操作行为。 根据内蒙古证监局公告,金融街证券包头钢铁大街证券营业部员工马甜任职期间,在销售乐和众和影视分级股权私募投资基金过程中,存在向...
Source Link因私募基金销售等业务领域违规,金融街证券(原恒泰证券)近期连遭监管处罚。根据内蒙古、广东等地证监局下发的行政监管措施决定书,该券商多地分支机构及7名相关业务员工合计收到7份罚单。 具体来看,在私募基金销售方面,共有4份罚单指出了金融街证券各分支机构的多起违规操作行为。 根据内蒙古证监局公告,金融街证券包头钢铁大街证券营业部员工马甜任职期间,在销售乐和众和影视分级股权私募投资基金过程中,存在向...
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