9月11日，证监会以及各地方证监局公示一批行政监管措施以及行政处罚决定，指向了5家券商，包括浙商证券、广发证券、国融证券、中金财富、长江证券。 此次监管集中开出的多张罚单，覆盖经纪、投行、研究等券商核心业务板块，暴露出部分机构在内控管理、从业人员执业管控、廉洁从业机制建设上仍存在短板。 罚单背后，监管持续压实券商主体责任，对分支机构展业乱象、投行尽调失职、分析师编造传播虚假信息等行为从严问责。...
Source Link9月11日，证监会以及各地方证监局公示一批行政监管措施以及行政处罚决定，指向了5家券商，包括浙商证券、广发证券、国融证券、中金财富、长江证券。 此次监管集中开出的多张罚单，覆盖经纪、投行、研究等券商核心业务板块，暴露出部分机构在内控管理、从业人员执业管控、廉洁从业机制建设上仍存在短板。 罚单背后，监管持续压实券商主体责任，对分支机构展业乱象、投行尽调失职、分析师编造传播虚假信息等行为从严问责。...
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