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華鑫股份(600621.SH):華鑫期貨使用違規系統交易遭中期協紀律懲戒
格隆匯 09-21 16:00

格隆匯 9 月 21日丨華鑫股份(600621.SH)公佈,近日,華鑫期貨收到中國期貨業協會中期協字[2020]109號《紀律懲戒決定》。華鑫期貨因使用非本公司購買或開發的交易系統傳遞客户交易指令、未對該系統上進行交易的客户賬户資金和持倉驗證、不符合期貨公司審慎經營和風險管理的要求,未建立健全並嚴格執行業務管理規則、風險管理制度,風險管理和內部控制存在較大缺陷等問題,中國期貨業協會決定對華鑫期貨處以以下紀律懲戒:(一)給予華鑫期貨有限公司“12個月暫停享有協會的選舉權和被選舉權”的紀律懲戒;(二)給予華鑫期貨總經理“公開譴責”的紀律懲戒。

華鑫期貨對中國期貨業協會中期協字[2020]109號《紀律懲戒決定》無異議。華鑫期貨將加強內部控制與客户服務,繼續為客户提供各類增值服務,鞏固與客户的長期合作關係。

華鑫期貨涉嫌違法違規行為發生於2014年7月至2015年7月期間,目前華鑫期貨經營狀況正常,上述紀律處分事項對華鑫期貨的業務經營、財務狀況不構成重大不利影響。

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