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北京证监局对中信建投证券股份有限公司采取责令改正行政监管措施

The Peking Securities Regulatory Bureau has imposed corrective administrative supervision measures on China Securities Co., Ltd.

Breakings ·  18:38

The Peking Securities Regulatory Bureau announced that the management of investor suitability and internal controls for the derivative and brokerage businesses of China Securities Co., Ltd. is inadequate, reflecting insufficient coverage of the company's compliance management, which violates Article 3 of the Administrative Measures for Compliance Management of Securities Companies and Securities Investment Fund Management Companies (Order No. 166 of the China Securities Regulatory Commission). In accordance with Article 32 of the Administrative Measures for Compliance Management of Securities Companies and Securities Investment Fund Management Companies, our bureau has decided to impose corrective administrative supervision measures on this company.

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