因投资申报及监控不到位等多项违规,光大证券兰州一营业部收警示函

财中社
Jun 15

  6月15日,根据甘肃证监局发布的公告,光大证券(601788)兰州东岗西路证券营业部因多项违规被出具警示函。

  经查,光大证券兰州东岗西路证券营业部对从业人员利害关系人投资行为申报和监控管理不到位,也未真实、有效开展合规培训。同时,该营业部还存在客户服务留痕及合规监督不到位的违规行为。

(文章来源:财中社)

Disclaimer: Investing carries risk. This is not financial advice. The above content should not be regarded as an offer, recommendation, or solicitation on acquiring or disposing of any financial products, any associated discussions, comments, or posts by author or other users should not be considered as such either. It is solely for general information purpose only, which does not consider your own investment objectives, financial situations or needs. TTM assumes no responsibility or warranty for the accuracy and completeness of the information, investors should do their own research and may seek professional advice before investing.

Most Discussed

  1. 1
     
     
     
     
  2. 2
     
     
     
     
  3. 3
     
     
     
     
  4. 4
     
     
     
     
  5. 5
     
     
     
     
  6. 6
     
     
     
     
  7. 7
     
     
     
     
  8. 8
     
     
     
     
  9. 9
     
     
     
     
  10. 10