信达证券因多项问题被出具警示函

财中社12-20 16:59

财中社12月20日电根据中国证监会北京监管局在2024年12月20日发布的公告，信达证券（601059）因存在多项问题被采取出具警示函的行政监管措施。经查，该公司在账户实名制管理方面不到位，未能有效识别非本人操作的客户并采取相应的风险管控措施。同时，公司在客户权益保护方面存在不足，投诉处理流程与制度不匹配，未能统一管理投资者投诉。此外，信达证券在人员管理上也存在缺陷，未建立有效的监测系统以防范...

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