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...

网页链接

免责声明：本文观点仅代表作者个人观点，不构成本平台的投资建议，本平台不对文章信息准确性、完整性和及时性做出任何保证，亦不对因使用或信赖文章信息引发的任何损失承担责任。

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。

发表看法

{"i18n":{"language":"zh_CN"},"isChannel":false,"data":{"share":"https://www.laohu8.com/m/news/1117406941?lang=zh_CN&edition=full","thumbnail":"https://static.tigerbbs.com/fec66c3fb15c98f93b78dac8cf6cc651","is_english":false,"pubTime":"2023-07-07 20:10","share_image_url":"https://static.laohu8.com/cc96873d3d23ee6ac10685520df9c100","id":"1117406941","market":"us","top_or_hot":-1,"title":"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","media":"华尔街见闻","content":"<div>\n<p>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...</p>\n\n<a href=\"https://wallstreetcn.com/livenews/2496325\">网页链接</a>\n\n</div>\n","source":"live_wallstreetcn","html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>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</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 11px; color: #7E829C; margin: 0;line-height: 11px;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\n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\n</h2>\n\n<h4 class=\"meta\">\n\n\n2023-07-07 20:10 北京时间&nbsp;&nbsp;&nbsp;<a href=https://wallstreetcn.com/livenews/2496325><strong>华尔街见闻</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>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...</p>\n\n<a href=\"https://wallstreetcn.com/livenews/2496325\">网页链接</a>\n\n</div>\n\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"09988","symbol_name":"阿里巴巴-W","start_time":0,"source_url":"https://wallstreetcn.com/livenews/2496325","article_id":"1117406941","we_media_id":null,"thumbnails":["https://static.tigerbbs.com/fec66c3fb15c98f93b78dac8cf6cc651"],"rights":{"source":"live_wallstreetcn","url":"https://wallstreetcn.com/livenews/2496325","rn_cache_url":null,"directOrigin":true},"url":"https://stock-news.laohu8.com/highlight/detail?id=1117406941","pubTimestamp":1688731828,"sourceInfo":{"source_id":"live_wallstreetcn","name":"华尔街见闻"},"weMediaInfo":null,"summary":"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。","collect":0,"end_time":0,"defaultTopTitle":"wallstreetcn.com","property":[],"viewcount":null,"language":"zh","relate_stocks":{"09988":"阿里巴巴-W","BABA":"阿里巴巴"},"translate_title":"Zhejiang Securities Regulatory Bureau gave warnings and fines to Ant Fund Sales Company and General Manager","themeId":"6009a3433f674c03b466c9e0fa62f05f","isJumpTheme":false,"ttsUrl":"https://static.tigerbbs.com/ba1b293ef0c9cfbdbba641572a2b72cb","symbols_score_info":{"09988":1.1,"BABA":1.1},"content_text":"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。 根据当事人违法行为的事实、性质、情节与社会危害程度，依据《销售管理办法》第五十七条的规定，浙江证监局决定：一、对蚂蚁(杭州)基金销售有限公司给予警告，并处以7368万元罚款；二、对林思思给予警告，并处以15万元罚款。","kind":null,"is_publish_news":true,"is_publish_highlight":true,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":0},"commentList":[{"id":195383485530328,"gmtCreate":1688738115729,"gmtModify":1688738117245,"author":{"id":"3479771273726972","authorId":"3479771273726972","name":"跟着队长一起走","avatar":"https://static.laohu8.com/default-avatar.jpg","vip":1,"hat":"https://static.tigerbbs.com/eec1894d24f295622b8891594288edf1","crmLevel":2,"crmLevelSwitch":1,"idStr":"3479771273726972","authorIdStr":"3479771273726972"},"htmlText":"支付宝推荐的基金坑了我多少钱吧！","listText":"支付宝推荐的基金坑了我多少钱吧！","text":"支付宝推荐的基金坑了我多少钱吧！","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195383485530328","repostId":1117406941,"repostType":2,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":195362610331768,"gmtCreate":1688732884764,"gmtModify":1688732886038,"author":{"id":"3557294228267354","authorId":"3557294228267354","name":"MG黄","avatar":"https://static.tigerbbs.com/a9c36c5387bb33035d77f7388dcdef28","vip":1,"hat":"https://static.tigerbbs.com/306aa047bc14b6942cda1aed925cf8c3","crmLevel":1,"crmLevelSwitch":0,"idStr":"3557294228267354","authorIdStr":"3557294228267354"},"htmlText":"林思思&nbsp;","listText":"林思思&nbsp;","text":"林思思","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195362610331768","repostId":1117406941,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":195360759230680,"gmtCreate":1688732567316,"gmtModify":1688732568556,"author":{"id":"3478839554414501","authorId":"3478839554414501","name":"差不多学生","avatar":"https://static.tigerbbs.com/f6b477921794e0ced2b74c265e6577a4","vip":1,"crmLevel":2,"crmLevelSwitch":0,"idStr":"3478839554414501","authorIdStr":"3478839554414501"},"htmlText":"这算是靴子落地了吧 。&nbsp;","listText":"这算是靴子落地了吧 。&nbsp;","text":"这算是靴子落地了吧 。","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195360759230680","repostId":1117406941,"repostType":2,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"}],"isCommentEnd":false,"newsSizeData":{"likeSize":1,"commentSize":3,"repostSize":2,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 AppleWebKit/537.36 (KHTML, like Gecko; compatible; ClaudeBot/1.0; +claudebot@anthropic.com)","isDev":false,"isTTM":false,"deviceId":"web-server-community-laohu8-v3","version":"4.29.2","shortVersion":"4.29.2","platform":"web","vendor":"web","appName":"laohu8","isIOS":false,"isAndroid":false,"isTiger":false,"isTHS":false,"isWeiXin":false,"isWeiXinMini":false,"isWeiBo":false,"isQQ":false,"isBaiduSwan":false,"isBaiduBox":false,"isDingTalk":false,"isToutiao":false,"isOnePlus":false,"isHuaWei":false,"isXiaomi":false,"isXiaomiWebView":false,"isOppo":false,"isVivo":false,"isSamsung":false,"isMobile":false},"href":"/m/news/1117406941"}