因存在提供服务时未能勤勉尽责等问题，南京证券一营业部被监管出具警示函

北京商报07-17

炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！北京商报讯（记者郝彦）7月17日，宁波证监局发布公告表示，南京证券宁波锦寓路证券营业部存在以下问题：在为客户提供服务时未能勤勉尽责、审慎履职，全面了解客户情况，未有效核实客户的财产与收入状况、风险偏好及可承受的损失等，此外，营业部营销人员办理客户融资融券业务佣金设置，不相容岗位未有效分离。宁波证监局表示，上述行为违反多项...

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