海通证券乌鲁木齐友好北路证券营业部及员工苗苗，违规为他人使用客户相关证券账户提供便利，收到警示函

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2024年4月30日，新疆证监局公告，海通证券乌鲁木齐友好北路证券营业部及员工苗苗存在违规行为。经查，该营业部为他人使用客户相关证券账户提供了便利，未及时重新评估客户风险承受能力，提供与投资者当时风险承受能力不匹配的融资展期服务，违反了相关法规。苗苗在营业部任职期间直接参与了上述违规事项并负有责任。因此，新疆证监局决定对营业部、苗苗采取出具警示函的行政监管措施，并记入证券期货市场诚信档案。营业部...

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