合规管理覆盖不到位,北京证监局对中信建投采取责令改正措施

大河财立方
10 Jan

【大河财立方消息】1月10日,因衍生品业务、经纪业务的投资者适当性管理、内控管理不完善,北京证监局决定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。中信建投衍生品业务内控管理不完善,存在直接根据客户指令进行对冲交易的行为,庆小飞作为业务部门人员负有直接责任。上述行为反映该公司合规管理覆盖不到位,根据相关规定,北京证监局决定对中信建投采取责令改正的行政监管措施,对庆小飞采取出具警示函的行政监管...

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