招待费被监管关注！华泰证券营业部收警示函

大河财立方04-09

【大河财立方消息】4月9日消息，青海证监局近日披露的行政监管信息显示，华泰证券股份有限公司西宁新宁路证券营业部及负责人傅捷收到警示函。　　经查，华泰证券西宁新宁路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。　　傅捷作为营业部负责人对上述问题负有管理...

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