海通證券(06837.HK):開展自查自糾工作 問責涉永煤債責任人
海通證券(06837.HK)(600837.SH)公布,海通證券積極配合中國銀行間市場交易商協會調查,公司認真檢視反思業務運作,立即採取相關整改措施,加強培訓學習,對業務流程進一步查缺補漏,完善相關內部控制措施,提升規範化運作水平。
此外,對違反行業自律規則和公司相關規定的北京債券融資部總經理夏坤、固定收益部總經理厲棟、海通資管副總經理張士軍、海通期貨副總經理姚弘等相關責任人,公司分別給予警告、通報批評等處分,並給予經濟處罰。
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