中泰期货北京分公司被出具警示函

财中社
27 Dec 2024

财中社12月27日电根据中国证监会北京监管局在2024年12月27日发布的公告,中泰期货股份有限公司北京分公司因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,未能有效排查业务风险而受到出具警示函的行政监管措施。反映出该分公司合规风险管理的缺失和内部控制的缺陷,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。监管局要求中泰期货股份有限公司北京分公司高度重视并...

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