同花顺因多项合规问题，被责令改正并记入证券期货市场诚信档案

新京报04-11

新京报贝壳财经讯 4月10日，浙江证监局披露，浙江同花顺基金销售有限公司（下称：同花顺基金）因多项合规问题，被责令改正并记入证券期货市场诚信档案。公开信息显示，同花顺基金此次五项违规分别表现为：在从业人员、经营场所等方面存在与股东、实际控制人、关联方混同的情况；未将基金销售保有规模等纳入考核体系；未对基金管理人、基金产品进行审慎调查和风险评估；未建立私募基金销售利益冲突评估机制，对存在关联关系的...

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