蓝鲸新闻1月28日讯，近日，中国证券监督管理委员会上海监管局发布行政监管措施决定书，剑指金融街证券股份有限公司上海虹口区飞虹路证券营业部。
决定书显示，金融街证券股份有限公司上海虹口区飞虹路证券营业部员工存在向投资者推介销售非金融街证券股份有限公司（原恒泰证券股份有限公司）代销的产品，并从中获取不当利益的行为，反映出营业部未能严格规范员工执业行为，合规管理不到位。
上述情形违反了《证券公司和证券投资基金管理公司合规管理办法》的规定。
对此，中国证券监督管理委员会上海监管局决定对金融街证券股份有限公司上海虹口区飞虹路证券营业部采取出具警示函的监督管理措施。
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