十余张罚单落地 金融街证券合规问题待解

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11 hours ago

日前,港股上市券商金融街证券发布公告称,公司非执行董事王琳晶此前在天风证券任职期间,因信披违规等行为,被多地证监局予以处罚。公司表示,该事件与集团事务及公司其他董事、高级管理层无关,不会对集团业务营运造成影响。  金融街证券近来风波不断。因内控问题,金融街证券几个月来已收到来自中国人民银行内蒙古自治区分行以及多地证监局的十余张监管罚单。这家自2025年9月更名的老牌券商,在引入国有资本后将如何解决...

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