浙江证监局对蚂蚁基金销售公司及总经理给予警告并处罚款

华尔街见闻2023-07-07

经查明，蚂蚁基金销售存在以下违法事实：一、违反代销基金产品准入、宣传、档案管理有关规定。二、违反基金销售机构人员管理、内部控制有关规定。蚂蚁基金销售上述行为反映出公司在开展基金销售业务过程中，未能恪尽职守，未履行诚实信用、谨慎勤勉的义务，违反了《证券投资基金法》《公开募集证券投资基金销售机构监督管理办法》有关规定。公司总经理林思思对公司开展基金销售业务负有管理责任，是公司前述违法违规行为的主管人员...

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精彩评论

跟着队长一起走
2023-07-07
跟着队长一起走
支付宝推荐的基金坑了我多少钱吧！
MG黄
2023-07-07
MG黄
林思思
差不多学生
2023-07-07
差不多学生
这算是靴子落地了吧。

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