江苏证监局双罚广发证券苏州某营业部：涉晨会言论不当、员工无证从业等

财中社03-06

根据江苏证监局在2026年3月6日发布的公告，广发证券（000776）苏州大道东证券营业部收到了出具警示函的行政监管措施。负责人肖炤曼则被采取责令改正的行政监管措施，两人均被记入证券期货市场诚信档案。　　经查，该营业部在从业人员职业行为规范监督方面存在不到位的情况，部分不具有期货从业资格的人员从事期货IB业务并领取奖励。此外，营业部负责人肖炤曼在晨会中公开发表不当言论，并对基金销售实施短期激励。（...

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