合规管理不到位、报送材料存遗漏,广发证券大连中山路营业部被警示

财中社
Oct 09

10月9日,根据中国证券监督管理委员会大连监管局发布的公告,广发证券(000776/01776)大连中山路证券营业部因存在合规管理不到位、报送的材料有误导性陈述及重大遗漏,被出具警示函。(文章来源:财中社)

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