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A股異動丨海通證券(600837.SH)跌5.45% 業務違規遭證監會處罰
格隆匯 03-25 10:41
格隆匯3月25日丨海通證券(600837.SH)跌5.45%,報11.27元,總市值1472億元,海通證券(06837.HK)亦跌近3%。近日,證監會對海通證券、海通資管在開展投資顧問、私募資產管理業務過程中未審慎經營、未有效控制和防範風險、合規風控管理缺失等違規行為下發行政監管措施事先吿知書,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12個月、增加內部合規檢查次數並提交合規檢查報吿的監管措施,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6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2年等監管措施。

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