合规管理不到位，华泰证券镇江分公司被监管“责令改正”，负责人王吉祥被出具警示函

扬眼11-21

转自：扬子晚报扬子晚报网11月21日讯（记者万凌云）因营业部工作人员存在违规销售金融产品的情形,反映出分公司合规管理不到位的问题，近日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；时任负责人王吉祥则被出具警示函，并记入证券期货市场诚信档案。王吉祥被出具警示函扬子晚报/紫牛新闻记者在《江苏证监局关于对华泰证券股份有限公司镇江分公司采取责令改正监管措施的决定》中看到，该决定的监管对象为“...

网页链接

免责声明：本文观点仅代表作者个人观点，不构成本平台的投资建议，本平台不对文章信息准确性、完整性和及时性做出任何保证，亦不对因使用或信赖文章信息引发的任何损失承担责任。

精彩评论

我们需要你的真知灼见来填补这片空白

发表看法

{"i18n":{"language":"zh_CN"},"isChannel":false,"data":{"share":"https://www.laohu8.com/m/news/2485480985?lang=zh_CN&edition=full","thumbnail":"","is_english":false,"pubTime":"2024-11-21 12:11","share_image_url":"https://static.laohu8.com/b0d1b7e8843deea78cc308b15114de44","id":"2485480985","market":"hk","top_or_hot":-1,"title":"合规管理不到位，华泰证券镇江分公司被监管“责令改正”，负责人王吉祥被出具警示函","media":"扬眼","content":"<div>\n<p>转自：扬子晚报扬子晚报网11月21日讯（记者 万凌云）因营业部工作人员存在违规销售金融产品的情形,反映出分公司合规管理不到位的问题，近日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；时任负责人王吉祥则被出具警示函，并记入证券期货市场诚信档案。王吉祥被出具警示函扬子晚报/紫牛新闻记者在《江苏证监局关于对华泰证券股份有限公司镇江分公司采取责令改正监管措施的决定》中看到，该决定的监管对象为“...</p>\n\n<a href=\"https://finance.sina.com.cn/jjxw/2024-11-21/doc-incwuxcq4703168.shtml\">网页链接</a>\n\n</div>\n","source":"sina","html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>合规管理不到位，华泰证券镇江分公司被监管“责令改正”，负责人王吉祥被出具警示函</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 11px; color: #7E829C; margin: 0;line-height: 11px;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\n合规管理不到位，华泰证券镇江分公司被监管“责令改正”，负责人王吉祥被出具警示函\n</h2>\n\n<h4 class=\"meta\">\n\n\n2024-11-21 12:11 北京时间&nbsp;&nbsp;&nbsp;<a href=https://finance.sina.com.cn/jjxw/2024-11-21/doc-incwuxcq4703168.shtml><strong>扬眼</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>转自：扬子晚报扬子晚报网11月21日讯（记者 万凌云）因营业部工作人员存在违规销售金融产品的情形,反映出分公司合规管理不到位的问题，近日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；时任负责人王吉祥则被出具警示函，并记入证券期货市场诚信档案。王吉祥被出具警示函扬子晚报/紫牛新闻记者在《江苏证监局关于对华泰证券股份有限公司镇江分公司采取责令改正监管措施的决定》中看到，该决定的监管对象为“...</p>\n\n<a href=\"https://finance.sina.com.cn/jjxw/2024-11-21/doc-incwuxcq4703168.shtml\">网页链接</a>\n\n</div>\n\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"LU1979443071.USD","symbol_name":"AB CHINA A SHARES EQUITY PORTFOLIO \"AD\" (USDHDG) INC","start_time":0,"source_url":"https://finance.sina.com.cn/jjxw/2024-11-21/doc-incwuxcq4703168.shtml","article_id":"2485480985","we_media_id":null,"thumbnails":[],"rights":{"source":"sina","url":"https://finance.sina.com.cn/jjxw/2024-11-21/doc-incwuxcq4703168.shtml","rn_cache_url":null,"customStyle":"body{padding-top:10px;}.art_tit_h1{#titleStyle#}a{#lv2TextColor#}.art_time, .art_cite{#sourceStyle#;} .art_cite{margin-left: 3px;}","selectors":".module-article, article","filters":"header, .voice2, .tags, #norm_qrcode_link_auto, .unfold-box, .action","directOrigin":true},"url":"https://stock-news.laohu8.com/highlight/detail?id=2485480985","pubTimestamp":1732162260,"sourceInfo":{"source_id":"sina","name":"sina"},"weMediaInfo":null,"summary":"责令改正根据《合规管理办法》第三十二条相关规定，决定对华泰证券股份有限公司镇江分公司采取责令改正的监管措施。根据《合规管理办法》第三十二条规定,江苏证监局决定对王吉祥采取出具警示函的监管措施,并记入证券期货市场诚信档案。","collect":0,"end_time":0,"defaultTopTitle":"sina.com.cn","property":[],"viewcount":null,"language":"zh","relate_stocks":{"601688":"华泰证券","LU1979443071.USD":"AB CHINA A SHARES EQUITY PORTFOLIO \"AD\" (USDHDG) INC","LU1328615791.USD":"FULLERTON LUX FUNDS - ALL CHINA EQUITIES \"I\" (USD) ACC","LU1580142542.USD":"Blackrock Systematic China A-Share Opportunities A2 USD","LU1064130708.USD":"FULLERTON LUX FUNDS - CHINA A EQUITIES \"I\" (USD) ACC","LU1781817850.SGD":"Blackrock Systematic China A-Share Opportunities A2 SGD-H","LU1934453819.USD":"AB CHINA A SHARES EQUITY PORTFOLIO \"A\" (USD) ACC","BK0276":"资本市场","BK0188":"融资融券","BK0028":"国家队","BK0012":"证金概念","BK0183":"MSCI概念","LU1064131003.USD":"FULLERTON LUX FUNDS - CHINA A EQUITIES \"A\" (USD) ACC","LU2148510915.USD":"FULLERTON LUX FUNDS - CHINA A EQUITIES \"R\" (USD) ACC"},"translate_title":"Compliance management was not in place, Huatai Securities Zhenjiang Branch was \"ordered to make corrections\" by supervision, and the person in charge Wang Jixiang was issued a warning letter","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"601688":1},"content_text":"转自：扬子晚报扬子晚报网11月21日讯（记者 万凌云）因营业部工作人员存在违规销售金融产品的情形,反映出分公司合规管理不到位的问题，近日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；时任负责人王吉祥则被出具警示函，并记入证券期货市场诚信档案。王吉祥被出具警示函扬子晚报/紫牛新闻记者在《江苏证监局关于对华泰证券股份有限公司镇江分公司采取责令改正监管措施的决定》中看到，该决定的监管对象为“华泰证券股份有限公司镇江分公司”。决定中称，经查，华泰证券股份有限公司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，反映出该分公司合规管理不到位的问题，违反了《证券公司代销金融产品管理规定》(2020年修订)(证监会公告〔2020〕20号)第六条第二款、《证券公司和证券投资基金管理公司合规管理办法》(证监会令第166号)(以下简称《合规管理办法》)第六条第(四)项的规定。责令改正根据《合规管理办法》第三十二条相关规定，决定对华泰证券股份有限公司镇江分公司采取责令改正的监管措施。同期， 扬子晚报/紫牛新闻记者还注意到，王吉祥作为时任镇江分公司负责人,对上述违规行为负有管理责任，违反了《证券公司和证券投资基金管理公司合规管理办法》(证监会令第166号)(以下简称《合规管理办法》)第十条第一款的规定。根据《合规管理办法》第三十二条规定,江苏证监局决定对王吉祥采取出具警示函的监管措施,并记入证券期货市场诚信档案。校对 徐珩\n\n\n海量资讯、精准解读，尽在新浪财经APP","kind":null,"is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"-1","news_tag":"Policy And Regulatory","news_rank":0,"symbols":[],"gpt_button":1},"commentList":[],"isCommentEnd":true,"newsSizeData":{"likeSize":0,"commentSize":0,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 AppleWebKit/537.36 (KHTML, like Gecko; compatible; ClaudeBot/1.0; +claudebot@anthropic.com)","isDev":false,"isTTM":false,"deviceId":"web-server-community-laohu8-v3","version":"4.29.2","shortVersion":"4.29.2","platform":"web","vendor":"web","appName":"laohu8","isIOS":false,"isAndroid":false,"isTiger":false,"isTHS":false,"isWeiXin":false,"isWeiXinMini":false,"isWeiBo":false,"isQQ":false,"isBaiduSwan":false,"isBaiduBox":false,"isDingTalk":false,"isToutiao":false,"isOnePlus":false,"isHuaWei":false,"isXiaomi":false,"isXiaomiWebView":false,"isOppo":false,"isVivo":false,"isSamsung":false,"isMobile":false},"href":"/m/news/2485480985"}