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日发布的决定,中信建投(601066)因其衍生品业务和经纪业务在投资者适当性管理及内控管理方面存在不完善情况,被采取责令改正的行政监管措施。该决定指出,公司合规管理覆盖不到位,违反了《证券公司和证券投资基金管理公司合规管理办法》相关规定。中国证监会北京监管局要求中信建投引以为戒,认真查找并整改存在的问题,建立健全内部控制制度,以提升...
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