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因?qū)ρ埻獠繉＜夜芸夭坏轿?信達(dá)證券遭監(jiān)管警示

因?qū)ρ埻獠繉＜夜芸夭坏轿?信達(dá)證券遭監(jiān)管警示

11月5日，中國證券監(jiān)督管理委員會(huì)上海監(jiān)管局公示了兩份關(guān)于信達(dá)證券股份有限公司上海投資咨詢分公司以及相關(guān)負(fù)責(zé)人的處罰決定。而在今年10月底，中證協(xié)剛披露的2023年券商發(fā)布證券研究報(bào)告業(yè)務(wù)經(jīng)營情況中，重申了券商在聘請外部專家時(shí)應(yīng)加以合規(guī)管理。

經(jīng)查，信達(dá)證券上海分公司在邀請外部專家參與證券投資咨詢服務(wù)以外咨詢服務(wù)時(shí)，存在相關(guān)管控不到位，未嚴(yán)格規(guī)范有關(guān)從業(yè)人員的執(zhí)業(yè)行為等問題。上述行為違反了相關(guān)規(guī)定，上海監(jiān)管局依規(guī)分別對信達(dá)證券上海分公司以及負(fù)責(zé)人韓某杰采取出具警示函的行政監(jiān)管措施。

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