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来源：国潮说
近日，上海证监局披露的行政监管措施公告显示，上市公司新黄浦旗下华闻期货被暂停新增资产管理业务6个月，多名责任人收警示函。
主要违规事实：
1． 无资质销售资管计划（无基金销售资格机构/人员、无基金从业员工）
2． 违规承诺收益、差额补足、对外支付保证金
3． 资管计划由外部人员实际控制、决策
4． 资管部门借咨询业务收费、参与经纪业务
5． 报送自查报告不实
6． 2022年责令改正后未整改到位，情节严重
近年其他处罚
• 2025-12-01（湖北证监局）：武汉营业部警示函；聘用无资质人员直播行情分析、网络营销内控失效。
• 2025-01-08（上海证监局）：责令改正；互联网营销误导性宣传、合规监控与留痕不足。
• 2024-04-23（上海证监局）：责令改正；无资质员工发布咨询建议、营销留痕不全、管控不足。
责任编辑：韦子蓉
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