深圳证监局：对招商证券股份有限公司采取出具警示函措施

澎湃新闻12-20 19:48

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！深圳证监局发布关于对招商证券股份有限公司采取出具警示函措施的决定。经查，招商证券股份有限公司在业务开展过程中，存在以下问题：一、经纪业务管理方面。部分业务制度未及时修订完善，个别营销人员在互联网平台从事客户招揽服务或向普通投资者推荐高于自身风险等级的金融产品。二、场外衍生品业务管理方面。制度体系化不足，业务隔离不到位。在...

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