华泰证券西宁新宁路营业部负责人傅捷被出具警示函，涉财务报销流程管理不到位等

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蓝鲸新闻4月8日讯，近日，青海证监局发布行政监管措施决定书，剑指华泰证券股份有限公司西宁新宁路证券营业部负责人傅捷。　　决定书显示，华泰证券股份有限公司西宁新宁路证券营业部存在以下违规事实：一是财务报销流程管理不到位，招待费使用无事前审批，报销过程未体现招待费具体用途，存在利益输送风险。二是未对部分投资者进行有效的持续身份识别，履行账户使用实名制职责不到位。　　以上行为违反了《证券期货经营机构及其...

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