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广发证券(01776.HK)收到中证监行政监管措施决定书
格隆汇 08-05 20:46

格隆汇8月5日丨广发证券(01776.HK)公告, 2019年8月5日,广发证券股份有限公司收到中国证券监督管理委员会《关于对广发证券股份有限公司采取限制业务活动措施的决定》(中国证监会行政监管措施决定书[2019]31号),原文如下:

"经查,你公司存在以下问题:一是对广发控股(香港)有限公司(以下简称广发控股香港或者香港子公司)风险管控缺失,包括对香港子公司新业务风险管控不足,风控系统未实现对香港子公司风险数据的全覆盖,对香港子公司风控要求执行情况的监督检查力度不够等

二是对广发控股香港合规管理存在缺陷,对香港子公司合规管理有效性缺乏监督;三是对广发控股香港内部管控不足,包括财务、组织架构管控不力等;四是作为数据报送的责任主体,未做好广发控股香港月度数据统计工作,向我会报送的数据不准确。

上述情况违反了《证券公司监督管理条例》第二十七条、第六十九条,《证券公司和证券投资基金管理公司合规管理办法》第二十四条,《证券公司风险控制指标管理办法》第六条,《证券公司全面风险管理规范》第十八条、第二十二条、第三十一条的规定。

按照《证券公司监督管理条例》第七十条的规定,我会决定对你公司采取限制增加场外衍生品业务规模6个月、限制增加新业务种类6个月的行政监管措施。如果对监督管理措施不服的,可以在收到决定书日起60日内向我会提出行政复议申请,也可以在收到决定书日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间,上述监督管理措施不停止执行。"

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