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華林證券(002945.SZ):收到西藏證監局行政監管措施事先吿知書
格隆匯 08-07 20:58

格隆匯8月7日丨華林證券(002945.SZ)公佈,近日,公司收到中國證券監督管理委員會西藏監管局《行政監管措施事先吿知書》。公司存在以下問題:一是月度風險控制指標監管報表填報不準確,風控指標超標;二是業務數據報送不準確;三是多份情況説明前後不一致;四是人員任免及執業資格管理存在明顯漏洞。

西藏證監局決定對公司採取責令限期改正、責令增加內部合規檢查的次數並提交合規檢查報吿的監督管理措施,記入證券期貨市場誠信檔案。公司應在本監督管理措施下發之日起6個月內,每3個月開展一次內部合規檢查,並在每次檢查後10個工作日內向西藏證監局報送合規檢查報吿。

公司表示將高度重視上述事項,並積極進行整改,後續公司將持續提升合規管理和內部控制水平,杜絕類似問題再度發生。

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