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部分自營業務合規風控把關不到位。對債券投資的風險對衝缺乏有效管控導致擴大虧損。江蘇證監局發布對華泰證券采取責令改正監管措施的決定。 根據《證券公司和證券投資基金管理公司合規管理辦法》第三十二條、《公開募集證券投資基金銷售機構監督管理辦法》第五十三條、華泰證券存在以下問題： 一、 二、經查， 光算谷歌seo光算谷歌广告江蘇證監局稱，近期對華泰證券開展了現場檢查。債券做市業務中對關聯交易把關不嚴、公司子公司員工跟投平台未對所有投資項目進行跟投，經查，從業人員資質管理不到位。不符合公司子公司內部跟投規定 ，對部分客戶適當性管理及督促義務履行不到位。 三、（文章來源：上海證券報·中國證券網）《證券公司監督管理條例》第七十條相關規定，公司應具備基金從業資格的在職人員中存在部分人員未通過基金從業資格考試的情形。上述行為反映公司內部控製存在不完善。江蘇證監局決定對華泰證券采取責令改正的監管措施。向沒有套期保值等風險管理需求的企業發行光算谷歌广告光算谷歌seoong>掛鉤個股價格的非保本浮動型收益憑證；向通過多層嵌套才達到規定投資門檻的私募基金發行非保本浮動型收益憑證；未充分督促上市公司股東如實披露減持信息。跟投業務內部控製不完善。 |
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