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北京证监管局对中金公司采取责令改正行政监管措施

The Beijing Securities Regulatory Authority ordered CICC to correct administrative supervision measures

Gelonghui Finance ·  May 10 16:19
Glonghui, May 10 | According to the Securities Regulatory Commission, the Beijing Regulatory Authority ordered China International Finance Co., Ltd. to take corrective administrative supervision measures. After investigation, the company had problems such as liquidity gaps due to operational risks, illegal provision of channel services, reverse transactions on the same day, and mutual transactions between product accounts, in violation of the “Administrative Measures on Private Asset Management Business of Securities and Futures Management Agencies” (CSRC Order No. 151) of Article 3 (2), Article 64 (2), and Article 65 (1).

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