龙卷风吹呀吹呀
06-23
$中信证券(06030)$
6月以来,至少有6家券商收到10张罚单,涉及中国银河证券、世纪证券、中泰证券、方正证券、东海证券、国投证券多家券商。而梳理处罚事由可见,经纪业务违规成为主因,包括代客理财、从业人员无资质上岗、违规提供投资建议等多项违规情形。严监管基调之下,针对券商相关违规行为的罚单数量、处罚力度均超过往。
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