因合规管理不到位,光大证券一营业部被监管警示

北京商报
26 Dec 2024

炒股就看金麒麟分析师研报,权威,专业,及时,全面,助您挖掘潜力主题机会! 北京商报讯(记者 李海媛)12月26日,厦门证监局发文称,经查,光大证券(维权)股份有限公司厦门展鸿路证券营业部(以下简称“厦门展鸿路证券营业部”)多名从业人员存在违规问题,反映出合规管理不到位,违反了相关规定。根据有关规定,厦门证监局决定对厦门展鸿路证券营业部采取出具警示函的监督管理措施,并根据《证券期货市场诚信监督管理...

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