金融街证券潮州熙泰大道营业部被出具警示函，涉员工违规销售及保本承诺

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蓝鲸新闻1月2日讯，近日，广东证监局发布行政监管措施决定书，剑指金融街证券股份有限公司潮州熙泰大道证券营业部。决定书显示，金融街证券股份有限公司潮州熙泰大道证券营业部员工卢铭斌从业期间，存在向投资者销售非公司代销产品并从中获取不当利益，以及承诺保本保收益的行为，营业部未能有效防范相关合规风险，反映出营业部合规管理不到位。上述情形违反了《证券公司和证券投资基金管理公司合规管理办法》的规定。对此，广东...

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