销售私募产品存误导性表述恒泰证券一员工被出具警示函

新浪证券2024-12-04

12月4日，内蒙古证监局披露了一则《关于对刘卫萍采取出具警示函行政监管措施的决定》的公告。公告显示，当事人刘卫萍系恒泰证券员工。内蒙古证监局调查发现，该员工在恒泰证券鄂尔多斯薛家湾准格尔路证券营业部从业期间，在销售私募产品过程中存在误导性表述、不当协助客户提供个人收入证明用于私募产品合格投资者认定的行为，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)第十条第二款、《私募...

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销售私募产品存误导性表述 恒泰证券一员工被出具警示函

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销售私募产品存误导性表述恒泰证券一员工被出具警示函