部分自营业务合规风控把关不到位等，华泰证券被江苏证监局采取责令改正监管措施

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江苏证监局4月19日公告，决定对华泰证券采取责令改正监管措施。经查，一、公司部分自营业务合规风控把关不到位。债券做市业务中对关联交易把关不严、对债券投资的风险对冲缺乏有效管控导致扩大亏损。二、公司对部分客户适当性管理及督促义务履行不到位。向没有套期保值等风险管理需求的企业发行挂钩个股价格的非保本浮动型收益凭证；向通过多层嵌套才达到规定投资门槛的私募基金发行非保本浮动型收益凭证；未充分督促上市公司...

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