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中证监拟对海通证券采取责令暂停为机构投资者提供债券投资顾问业务
阿思达克 03-25 07:31
中证监表示,拟对海通证券(06837.HK)(600837.SH)采取责令暂停为机构投资者提供债券投资顾问业务12个月、增加内部合规检查次数并提交合规检查报告的监管措施,对海通资管采取责令暂停为证券期货经营机构私募资管产品提供投资顾问服务12个月、责令暂停新增私募资管产品备案六个月的监管措施,对多名直接责任人及负有管理责任的人员采取认定为不适当人选两年等监管措施。

海通证券回应表示,公司、子公司海通资管及相关责任人员分别收到上海证监局出具的行政监管措施事先告知书。目前公司经营情况正常。

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