华泰证券多项问题被责令整改

金融界04-22

华泰证券多项问题被责令改正江苏证监局于4月19日发布公告，指出在对华泰证券的现场检查中发现其自营业务、跟投业务、客户适当性管理及从业人员资质管理等方面存在多项问题，决定对其采取责令改正的监管措施。华泰证券需在收到决定书后30日内提交整改落实情况的书面报告。这些问题包括但不限于：自营业务中关联交易把关不严、债券投资风险对冲管控不足导致亏损扩大；对部分客户适当性管理不到位，如向无套期保值需求企业发行...

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