【导读】因衍生品业务内控管理不完善,北京证监局对中信建投采取责令改正措施见习记者张舟2025年1月10日,北京证监局披露了《关于对中信建投证券股份有限公司采取责令改正行政监管措施的决定》,指出中信建投证券在衍生品业务、经纪业务的投资者适当性管理、内控管理方面存在不完善的情况。来看详情:北京证监局指出,经查,中信建投证券衍生品业务、经纪业务的投资者适当性管理、内控管理不完善,反映公司合规管理覆盖不...
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