申萬宏源證券被上海證監局責令增加合規檢查次數
中國證券監督管理委員會上海監管局網站上周五(17日)發布行政執法決定,對申萬宏源證券有限公司採取責令增加合規檢查次數措施。
上海監管局表示,申萬宏源與螞蟻財富(上海)金融信息服務合作開展線上投資顧問業務時,未獨立開展適當性管理,未全面了解投資者情況,未獲取客戶的住址、職業、財務狀況、投資經驗、誠信記錄等信息,相關信息系統運行不處於公司自身控制範圍,未能本地保存客戶信息、適當性管理以及相關服務記錄等資料,違反相關規定。
上海監管局責令申萬宏源,自監督管理措施決定作出之日起的一年內,需要每三個月開展一次內部合規檢查,並在每次檢查後10個工作日內,向局方報送合規檢查報告。
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