因展业过程中多项业务管理存在不足，中信证券被监管警示

北京商报12-20 23:35

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）12月20日，深圳证监局发文称，经查，发现中信证券在开展业务过程中，存在经纪业务管理存在不足。如业务制度未及时修订完善；客户开户信息采集登记不规范，部分客户回访由客户经理负责；部分账户的可疑交易预警核查及实名制核查不充分；对分支机构员工的执业信息登记备案、手机号报备管理、违规信息报送不及时不到位；...

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