因未对员工执业行为实施有效管理，申万宏源西部证券一营业部被监管警示

北京商报08-22 20:26

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（记者李海媛）8月22日，甘肃证监局发文称，经查，申万宏源西部证券有限公司兰州西津西路证券营业部（以下简称“兰州西津西路证券营业部”）存在未将个别从业人员手机号码纳入合规监测系统；个别从业人员替客户办理证券交易，向客户提供部分缺少合理依据的投资建议和开通融资融券、科创板业务的知识测试答案的情况。上述情况反映出...

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