因违规为他人提供便利海通证券一营业部及责任人遭警示

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北京商报讯（记者李海媛）4月30日，新疆证监局发文称，经查，海通证券股份有限公司乌鲁木齐友好北路证券营业部（以下简称“营业部”）存在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等情形。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。上述行为违反相关规定，依据有关规定，新疆证监局决定对营业部、苗苗采取出具警示函的行政...

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因违规为他人提供便利 海通证券一营业部及责任人遭警示

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因违规为他人提供便利海通证券一营业部及责任人遭警示