中原证券(601375.SH)：河南证监局决定对公司采取责令改正的行政监管措施

智通财经2023-06-05

智通财经APP讯，中原证券(601375.SH)公告，近日，公司收到中国证券监督管理委员会河南监管局(“河南证监局”)《关于对中原证券股份有限公司采取责令改正监管措施的决定》。经查，公司发布证券研究报告业务相关制度不完善，质量审核和合规审查机制不健全，个别研究报告分析论证不充分，质量审核和合规审查留痕不到位。上述行为不符合相关规定，河南证监局决定对公司采取责令改正的行政监管措施。公司应在该监管措施...

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