蓝鲸新闻4月23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，剑指国泰海通证券股份有限公司。
决定书显示，国泰海通证券股份有限公司存在以下问题：一是与非专业机构投资者开展场外期权交易，且在开展过程中未能有效监测参与产品购买场外期权的占比情况；二是对于个别分支机构合规管理不到位，存在个别从业人员协助非专业机构投资者开展场外期权交易的情形。
上述情形违反了《证券公司场外期权业务管理办法》《证券期货投资者适当性管理办法》《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国泰海通证券股份有限公司采取出具警示函的监督管理措施。
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