涉7项违规,广发证券深圳分公司遭监管警示

大河财立方
Sep 11

【大河财立方消息】9月11日,深圳证监局披露行政处罚信息,广发证券股份有限公司深圳分公司、时任负责人刘泽林、合规经理张艳威被出具警示函。  经查,该分公司存在以下问题:  一是个别营销人员向普通投资者主动推介风险等级高于其风险承受能力的产品、指导客户调高风险承受能力。  二是员工向银行相关人员支付有效户奖励、向潜在客户赠送实物礼品。  三是下辖营业部向第三方机构支付的广告费与客户有效户转化率、两融...

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