中信建投业务人员因内控管理问题被出具警示函

财中社
10 Jan

财中社1月10日电 根据中国证监会北京监管局在2025年1月10日发布的公告,庆小飞因在中信建投(601066)的衍生品业务中存在内控管理不完善的问题,受到出具警示函的行政监管措施。经查明,庆小飞作为业务部门人员,直接负责的对冲交易行为违反了《证券公司和证券投资基金管理公司合规管理办法》第十条的相关规定。此项监管措施的依据是《证券公司和证券投资基金管理公司合规管理办法》第三十二条。庆小飞若对该措施...

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