恒泰期货青岛营业部客户开发外包违规被罚,母公司涉“飞单”及私募销售违规遭监管追责

云掌财经
Feb 10

证券之星 赵子祥近日,恒泰期货旗下青岛营业部因客户开发业务实质对外承包等违规行为,被青岛证监局采取暂停新开户3个月的监管措施,其负责人亦被出具警示函,不仅是恒泰期货今年首起监管处罚,更揭开了其在分支机构管控与内控建设上的短板。证券之星注意到,作为国内成立较早的期货公司之一,恒泰期货凭借全牌照资质及母公司资源支持,在期货经纪、资产管理等领域积累了一定的业务基础。但与此同时,恒泰期货母公司金融街证券...

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