南華期貨(603093.SH):收到浙江證監局行政監管措施決定書
格隆匯 6 月 24日丨南華期貨(603093.SH)公告,公司於2020年6月24日收到中國證券監督管理委員會浙江監管局(以下簡稱“浙江證監局”)《關於對南華期貨股份有限公司責令改正措施的決定》(行政監管措施決定書[2020]46號)。現將具體內容公告如下:
“南華期貨股份有限公司:經查,我局發現你公司上海分公司員工陳振妹在任期間以個人名義私下向客户收取報酬並進行分配。上述事實反映出你公司對從業人員執業行為的內部管控存在漏洞,未能有效防控相關風險,違反了《期貨公司監督管理辦法》第五十一條的相關規定。根據《期貨公司監督管理辦法》第一百零九條的規定,我局決定對你公司採取責令改正的監督管理措施,並記入證券期貨市場誠信檔案。你公司應當在2020年7月10日前向我局提交書面整改報告,杜絕今後再次發生此類違規行為。如果對本監督管理措施不服的,可以在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請,也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間,上述監督管理措施不停止執行。”
公司將按照浙江證監局的要求及時提交相關報告。
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