国泰海通证券被出具警示函

大河财立方04-24 08:51

　　【大河财立方消息】近日，中国证券监督管理委员会上海监管局发布关于对国泰海通证券股份有限公司采取出具警示函措施的决定。

　　经查，国泰海通证券存在以下问题：一是与非专业机构投资者开展场外期权交易，且在开展过程中未能有效监测参与产品购买场外期权的占比情况；二是对于个别分支机构合规管理不到位，存在个别从业人员协助非专业机构投资者开展场外期权交易的情形。

　　根据有关规定，上海证监局决定对国泰海通证券采取出具警示函的监督管理措施。

（文章来源：大河财立方）

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