财中社1月13日电 根据四川证监局在2025年1月13日发布的公告,徽商银行股份有限公司成都分行因其基金销售业务存在合规风控人员岗位职责划分不清晰及合格投资者认证落实不到位的问题,受到出具警示函的行政监督管理措施。该行为违反了《公开募集证券投资基金销售机构监督管理办法》第26条第一款及《证券期货投资者适当性管理办法》第6条第(六)项规定。四川证监局要求徽商银行成都分行高度重视并在收到决定书之日起...
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