未将员工手机号纳入合规监测系统申万宏源西部证券被出具警示函

腾讯自选股08-22 15:22

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！上证报中国证券网讯据甘肃证监局8月22日消息，8月19日，甘肃证监局决定对申万宏源西部证券有限公司兰州西津西路证券营业部采取出具警示函的行政监督管理措施，并记入证券期货市场诚信档案。经查，该营业部存在以下问题：一是未将个别从业人员手机号码纳入合规监测系统；二是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...

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未将员工手机号纳入合规监测系统 申万宏源西部证券被出具警示函

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未将员工手机号纳入合规监测系统申万宏源西部证券被出具警示函