25家上市券商半年合计受处56次 头部及中小机构占比1:3

中国经营报
Sep 11

2026年上市券商半年报披露工作落下帷幕,行业合规管理的“漏洞”随之显现。  《中国经营报》记者梳理半年报发现,监管部门对25家上市券商累计作出56次监管处罚决定,其中行政处罚7次,采取行政监管措施49次。  其中,几家净利润突破百亿元的券商,其违法违规行为,事发多集中于地方营业部。专业人士认为,这些头部券商总部层面的合规制度不可谓不完备,但过往罚单大多只落到营业部层面,省级分公司被追责的案例不足...

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