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東興證券(601198.SH):子公司東興期貨遭責令改正
格隆匯 01-07 17:42

格隆匯1月7日丨東興證券(601198.SH)公佈,近日,公司控股子公司東興期貨有限責任公司(“東興期貨”)收到《關於對東興期貨有限責任公司採取責令改正監管措施的決定》。

原因系東興期貨風險管理子公司上海伴興實業發展有限公司(“上海伴興”)與不具備衍生產品交易業務資格的大連銀行及海峽銀行開展了掛鈎黃金的價差場外期權交易。此外,上海伴興未按照《上海伴興實業發展有限公司風險管理制度》對與大連銀行等開展的相關項目編制《風險評估報吿》。公司2019年對上海伴興進行了合規檢查,但未提出前述問題,反映出公司未健全並持續完善覆蓋子公司及其業務的合規管理、風險管理和內部控制體系,未能實現風險管理全覆蓋,違反了《期貨公司監督管理辦法》(證監會令第155號)第五十一條的規定。

根據《期貨公司監督管理辦法》第一百零九條的規定,上海證監局決定對東興期貨採取責令改正的監管措施,責令東興期貨在2021年1月15日前予以改正。

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