信达证券温州瓯江路营业部被出具警示函，涉两融绕标管控不足等

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蓝鲸新闻1月10日讯，近日，浙江证监局发布行政监管措施决定书，剑指信达证券股份有限公司温州瓯江路证券营业部。决定书显示，营业部存在以下问题：一是对两融绕标管控措施力度不足，客户存在两融绕标操作；二是未对客户异常交易行为进行有效监控，风险管理不到位；三是个别员工展业行为未留痕,营业部对员工管理不到位、合规监控不足。以上情形，反映出营业部风险管理不到位、合规内控不完善，违反了《证券公司和证券投资基金...

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