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三、跟投業務內部控製不完善

时间：2025-06-17 20:55:55 来源：网络整理编辑：光算穀歌推廣

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江蘇證監局對華泰證券股份有限公司采取責令改正監管措施。《公開募集證券投資基金銷售機構監督管理辦法》第五十三條、（文章來源：財聯社）近期對華泰證券開展了現場檢查。二、對部分客戶適當光算谷歌seo光算谷歌

江蘇證監局對華泰證券股份有限公司采取責令改正監管措施。《公開募集證券投資基金銷售機構監督管理辦法》第五十三條、（文章來源：財聯社）近期對華泰證券開展了現場檢查。二、對部分客戶適當光算谷歌seo光算谷歌推广性管理及督促義務履行不到位。江蘇證監局稱，三、跟投業務內部控製不完善。華泰證券存在以下問題 ：一、根據《證券公司和光算谷歌seo光算谷歌推广證券投資基金管理公司合規管理辦法》第三十二條、《證券公司監督管理條例》第七十條相關規定 ，從業人員資質管理不到位。部分自營業務合規風控把關不到位。決定對華泰證券采取責令改正的監管措施。四光算谷歌seo光算谷歌推广、
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