浙江证监局对蚂蚁基金销售公司及总经理给予警告并处罚款_老虎社区_美港股上老虎

浙江证监局对蚂蚁基金销售公司及总经理给予警告并处罚款

华尔街见闻2023-07-07

经查明，蚂蚁基金销售存在以下违法事实：一、违反代销基金产品准入、宣传、档案管理有关规定。二、违反基金销售机构人员管理、内部控制有关规定。蚂蚁基金销售上述行为反映出公司在开展基金销售业务过程中，未能恪尽职守，未履行诚实信用、谨慎勤勉的义务，违反了《证券投资基金法》《公开募集证券投资基金销售机构监督管理办法》有关规定。公司总经理林思思对公司开展基金销售业务负有管理责任，是公司前述违法违规行为的主管人员...

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跟着队长一起走
·2023-07-07
支付宝推荐的基金坑了我多少钱吧！
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MG黄
·2023-07-07
林思思
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差不多学生
·2023-07-07
这算是靴子落地了吧。
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根据当事人违法行为的事实、性质、情节与社会危害程度，依据《销售管理办法》第五十七条的规定，浙江证监局决定：一、对蚂蚁(杭州)基金销售有限公司给予警告，并处以7368万元罚款；二、对林思思给予警告，并处以15万元罚款。","kind":null,"is_publish_news":true,"is_publish_highlight":true,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"symbols":[],"gpt_button":0},"commentList":[{"id":195383485530328,"gmtCreate":1688738115729,"gmtModify":1688738117245,"author":{"id":"3479771273726972","authorId":"3479771273726972","authorIdStr":"3479771273726972","name":"跟着队长一起走","avatar":"https://static.laohu8.com/default-avatar.jpg","vip":1,"hat":"https://static.tigerbbs.com/eec1894d24f295622b8891594288edf1","crmLevel":2,"crmLevelSwitch":1},"htmlText":"支付宝推荐的基金坑了我多少钱吧！","listText":"支付宝推荐的基金坑了我多少钱吧！","text":"支付宝推荐的基金坑了我多少钱吧！","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195383485530328","repostId":1117406941,"repostType":2,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":195362610331768,"gmtCreate":1688732884764,"gmtModify":1688732886038,"author":{"id":"3557294228267354","authorId":"3557294228267354","authorIdStr":"3557294228267354","name":"MG黄","avatar":"https://static.tigerbbs.com/a9c36c5387bb33035d77f7388dcdef28","vip":1,"hat":"https://static.tigerbbs.com/306aa047bc14b6942cda1aed925cf8c3","crmLevel":1,"crmLevelSwitch":0},"htmlText":"林思思&nbsp;","listText":"林思思&nbsp;","text":"林思思","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195362610331768","repostId":1117406941,"repostType":4,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"},{"id":195360759230680,"gmtCreate":1688732567316,"gmtModify":1688732568556,"author":{"id":"3478839554414501","authorId":"3478839554414501","authorIdStr":"3478839554414501","name":"差不多学生","avatar":"https://static.tigerbbs.com/f6b477921794e0ced2b74c265e6577a4","vip":1,"crmLevel":2,"crmLevelSwitch":0},"htmlText":"这算是靴子落地了吧 。&nbsp;","listText":"这算是靴子落地了吧 。&nbsp;","text":"这算是靴子落地了吧 。","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://laohu8.com/post/195360759230680","repostId":1117406941,"repostType":2,"isVote":1,"likeStatus":false,"favoriteStatus":false,"reportStatus":false,"tweetType":1,"langContent":"CN"}],"hasMoreComments":true,"newsSizeData":{"likeSize":1,"commentSize":3,"repostSize":2,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false}}