中證監擬對海通證券採取責令暫停為機構投資者提供債券投資顧問業務
中證監表示,擬對海通證券(06837.HK)(600837.SH)採取責令暫停為機構投資者提供債券投資顧問業務12個月、增加內部合規檢查次數並提交合規檢查報告的監管措施,對海通資管採取責令暫停為證券期貨經營機構私募資管產品提供投資顧問服務12個月、責令暫停新增私募資管產品備案六個月的監管措施,對多名直接責任人及負有管理責任的人員採取認定為不適當人選兩年等監管措施。
海通證券回應表示,公司、子公司海通資管及相關責任人員分別收到上海證監局出具的行政監管措施事先告知書。目前公司經營情況正常。
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