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中泰期货北京分公司因合规风险管理不到位被出具警示函

ZHONGTAIFUTURES Peking branch was issued a warning letter due to inadequate compliance risk management.

Breakings ·  Dec 27 16:35

According to news from the China Securities Regulatory Commission's Peking Regulatory Bureau, ZHONGTAIFUTURES Co., Ltd.'s Peking branch was subject to administrative supervision measures issuing a warning letter due to inadequate management of customer trading behavior, insufficient monitoring and follow-up of broker business customer trading behavior, and failure to effectively investigate business risks. The regulatory bureau required the branch to take this seriously, rectify immediately, strengthen management of customer trading behavior, effectively control business risks, and protect the legitimate rights and interests of traders. If there are objections, one can apply for administrative reconsideration or initiate litigation within the prescribed time.

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