中新经纬12月27日电 据北京证监局网站27日消息,北京证监局对中泰期货股份有限公司北京分公司(下称“中泰期货北京分公司”)出具警示函。北京证监局表示,经查,中泰期货北京分公司客户交易行为管理不到位,对部分经纪业务客户交易行为监控和回访不足,未有效排查业务风险,反映出中泰期货北京分公司合规风险管理不到位,内部控制存在缺陷,违反了《期货公司监督管理办法》(证监会令第155号)第五十六条的规定。根据《...
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