因个别员工存在违规行为，财达证券一营业部被监管警示

北京商报11-18 20:05

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）11月18日，天津证监局发文称，经查，财达证券股份有限公司天津狮子林大街证券营业部（以下简称“狮子林大街营业部”）存在合规管理不到位的问题。首先，是个别员工在从业期间借用他人证券账户买卖股票，营业部未将其实际使用的手机号纳入监测，未充分防范其利用职务便利从事违法违规行为。其次，是存在向《私募投资基金...

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