因公司合规管理覆盖不到位,中信建投证券被监管责令改正

北京商报
10 Jan

北京商报讯(记者 郝彦)1月10日,北京证监局发布公告表示,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到位,违反规定,北京证监局决定对中信建投证券采取责令改正的行政监管措施。另外,据北京证监局发布的《关于对庆小飞采取出具警示函行政监管措施的决定》中指出,中信建投证券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...

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