東吳證券內控漏洞再現多名員工飛單遭監管責令改正
格隆匯8月16日丨據中國網,近期,江蘇證監局發佈關於對東吳證券蘇州吳江中山北路證券營業部採取責令改正監督管理措施的決定。決定顯示,該營業部部分員工推介或銷售非東吳證券自主發行或代銷的金融產品,違反規定,反映出該營業部內部控制不完善、經營管理混亂。值得關注的是,這不是東吳證券今年內控出事的首張罰單。6月6日,曾任東吳證券蘇州濱河路營業部總經理的辛宏文違規炒股三年,領下千萬罰單。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.