因合规管理不到位，华泰证券镇江分公司被监管责令改正

北京商报11-18 20:05

北京商报讯（记者李海媛）11月18日，江苏证监局发文称，经查，发现华泰证券股份有限公司镇江分公司（以下简称“华泰证券镇江分公司”）及下属句容华阳北路营业部工作人员存在违规销售金融产品的情形，反映出华泰证券镇江分公司合规管理不到位的问题，违反了相关规定。根据有关规定，江苏证监局决定对华泰证券镇江分公司采取责令改正的监管措施。同时，江苏证监局指出，王吉祥作为时任华泰证券镇江分公司负责人，对上述...

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