蓝鲸新闻2月3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海伦路证券营业部、陈勇。
决定书显示，金融街证券股份有限公司上海虹口区海伦路证券营业部（曾用名恒泰证券股份有限公司上海吴淞路证券营业部）存在以下情形：一是在开展证券投资顾问业务过程中，存在业务推广和服务提供环节留痕记录不完整的情形；二是存在从业人员委托证券经纪人以外的第三方进行客户招揽活动的情形。
上述情形违反了《证券投资顾问业务暂行规定》《证券经纪人管理暂行规定》《证券公司和证券投资基金管理公司合规管理办法》的规定。陈勇时任营业部负责人，对上述问题负有直接责任。
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海伦路证券营业部、陈勇采取出具警示函的监督管理措施。
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