You are browsing the Hong Kong website, Regulated by Hong Kong SFC (CE number: BJA907). Investment is risky and you must be cautious when entering the market.
華安證券(600909.SH):子公司因內部控制存在隱患收到行政監管措施決定書
格隆匯 11-04 19:58

格隆匯11月4日丨華安證券(600909.SH)公佈,公司全資子公司華安期貨有限責任公司(“華安期貨”)於近期收到中國證券監督管理委員會安徽監管局出具的《關於對華安期貨有限責任公司採取出具警示函措施的決定》(﹝2021﹞32號)。具體情況如下:

“根據投訴舉報線索核查發現,2015年4月-12月期間,你公司財務總監汪軍存在利用職務便利違規參與證券投資諮詢活動的行為。

上述情況反映出你公司在高管任職管理、財務管理和制衡機制方面不健全,內部控制存在一定隱患,違反了《期貨公司監督管理辦法》(證監會令第110號)第四十六條的規定。根據《期貨公司監督管理辦法》第八十七條規定,我局決定對你公司採取出具警示函的行政監管措施,並記入證券期貨市場誠信檔案。你公司應引以為戒,並按照監管規定要求,進一步完善公司內部控制,切實提高合規管理水平,杜絕類似問題再次發生,同時公司應對相關責任人員進行內部問責,於收到本決定書30日內向我局報送整改報吿和內部問責情況。

如果對本監督管理措施不服,可在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請,也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間,上述監督管理措施不停止執行。”

Follow us
Find us on Facebook, Twitter , Instagram, and YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!
Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.
uSMART
Wealth Growth Made Easy
Open Account