The Commission on securities Henderson, Fortune Securities to take administrative regulatory measure 嘿嘿taxi

The Commission on securities Henderson, Fortune Securities to take administrative regulatory measures – Beijing, Beijing, September 9, according to the SFC website news, recently, the Commission on Henderson securities limited liability company (hereinafter referred to as Henderson securities), Fortune Securities Limited liability company (hereinafter referred to as the wealth of securities) to adopt the administrative supervision measures. It is reported that from March 2016 to May, the Commission launched a hosted brokerage executive investors in the management of the special inspection, involving all engaged in the national share transfer system account business sponsored by 90 brokerages, nearly 4 years of account information, all 120 thousand qualified investors account. The investigation found, part sponsored by brokerage executive national share transfer system for investors in the management of the situation is not in place. Among them, Henderson securities, Fortune Securities has failed to strictly implement the provisions, for a large number of investors do not meet the standards of the opening of the national share transfer system trading rights, investor risk assessment management loopholes, and not in the Commission to carry out inspection and truthfully report the problem. According to the relevant provisions of the "Regulations" of the supervision and administration of securities companies, the Commission adopted shall be ordered to make corrections and suspended in the country share transfer system for new customer access to trading business for 6 months the administrative supervision measures on securities Henderson, fortune securities. It is understood that the investors in the management system is an important foundation of the national share transfer system system, the host will strengthen the business voucher prior review and subsequent evaluation work, shall not be inconsistent with the provisions of the investors. The Commission will continue to earnestly implement the "State Council on issues related to the National SME share transfer system" (Guo Fa 2013 No. 49), the strict supervision of investors in the management of executive hosting broker is not in place, the internal control and compliance management is not perfect, severely punished according to law, to promote the national share transfer system the healthy and stable development.相关的主题文章: