河南证监局对中原证券股份有限公司实施责令改正监督管理措施

21世纪经济报道04-26

南方财经4月26日电，河南证监局对中原证券股份有限公司实施责令改正监督管理措施，经查，中原证券存在以下情形：一是合规管理和风险管理不到位。未制定母子公司统一授信管理制度，未对个别重大投资项目风险进行审慎评估。对境外子公司、另类子公司合规风险管控不到位，未有效强化合规风险管理。二是在开展股票质押业务时，风险管理不审慎、内控管理不到位。作为承销商，通过股票质押业务向参与认购债券的投资者提供财务资助。...

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