代客理财造成客户亏损?东方证券合规管理不足,一营业部总经理遭监管警示

时代周报
02 Jan

图片来源:图虫究竟是个人行为,还是东方证券的合规管理出了问题?明知代客理财违规,却依旧有人“铤而走险”。江苏证监局在2024年10月15日对外披露了两份警示函,一份是对东方证券江阴人民东路营业部的警示函,另一份是东方证券员工张洋。据天眼查显示,一位“张洋”在2020年8月7日至2024年6月1日期间曾担任东方证券江阴人民东路营业部的负责人。图片来源:天眼查2024年12月初,一位王先生(化名)向...

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