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宁夏证监局对工商银行宁夏分行采取责令改正措施

The Ningxia Securities Regulatory Bureau has taken rectification measures requiring Industrial and Commercial Bank of China's Ningxia branch to make corrections.

Breakings ·  Jun 25 18:46
The Ningxia Securities Regulatory Bureau has issued a decision on ordering the Industrial and Commercial Bank of China Ningxia Branch to take corrective measures. After investigation, the Industrial and Commercial Bank of China Ningxia Branch has the following problems in carrying out fund sales business: 1. Some of the fund sales business leaders of the branches have not obtained the qualifications for fund practitioners. 2. There are cases where the risk assessment results of underage customers do not match factors such as their sources of income, asset status, debts, investment knowledge and experience, risk preferences, and integrity status, and they sell fund products with risk levels that do not match underage customers’ actual risk tolerance. 3. No self-examination is conducted every six months for fund sales business and a self-examination report is formed. The Industrial and Commercial Bank of China Ningxia Branch should take effective corrective measures to implement the rectification, and submit a written rectification report within 60 days from the date of receiving this decision.

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