中新经纬1月10日电 北京证监局网站10日发布《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》。北京证监局指出,经查,中信建投证券股份有限公司衍生品业务、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》(证监会令第166号)第三条规定。根据《证券公司和证券投资基金管理公司合规管理办法》第三十二条的规定,北京...
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