上海證監局對華泰資管採取責令改正監管措施
上海證監局近日發佈關於對華泰證券(上海)資產管理有限公司(華泰資管)採取責令改正措施的決定。
經調查,華泰資管在開展固定收益業務過程中,內部控制體系存在不足,信用風險管理機制不健全,未對信用風險進行準確識別、審慎評估和全程管理,部份產品出現流動性風險。
上海證監局認爲,華泰資管的行爲違反《公開募集證券投資基金運作管理辦法》、《證券期貨經營機構私募資產管理業務管理辦法》。根據規定,責令華泰資管於8月底前予以改正。(ta/w) ~
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