湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施

格隆汇07-09

湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施，经查，该分公司存在以下问题：一是证券投资顾问业务推广环节留痕记录不完整。二是个别员工在没有签订证券投资顾问服务协议的情况下向客户提供证券投资建议。三是个别员工客户招揽行为不规范,在证券投资顾问业务营销过程中存在误导性宣传的行为。湖北证监局决定对该分公司采取出具警示函的行政监管措施,并记入证券期货市场诚信档案。湖北证监局要求该公司应高度重视，...

网页链接

免责声明：本文观点仅代表作者个人观点，不构成本平台的投资建议，本平台不对文章信息准确性、完整性和及时性做出任何保证，亦不对因使用或信赖文章信息引发的任何损失承担责任。

精彩评论

我们需要你的真知灼见来填补这片空白

发表看法

{"i18n":{"language":"zh_CN"},"isChannel":false,"data":{"share":"https://www.laohu8.com/m/news/2650259923?lang=zh_CN&edition=full","thumbnail":"","is_english":false,"pubTime":"2026-07-09 18:21","share_image_url":"https://static.laohu8.com/6b8fa6424aebe95f6781d04ef17a1852","id":"2650259923","market":"us","top_or_hot":-1,"title":"湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施","media":"格隆汇","content":"<div>\n<p>湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施，经查，该分公司存在以下问题：一是证券投资顾问业务推广环节留痕记录不完整。二是个别员工在没有签订证券投资顾问服务协议的情况下向客户提供证券投资建议。三是个别员工客户招揽行为不规范,在证券投资顾问业务营销过程中存在误导性宣传的行为。湖北证监局决定对该分公司采取出具警示函的行政监管措施,并记入证券期货市场诚信档案。湖北证监局要求该公司应高度重视，...</p>\n\n<a href=\"https://www.gelonghui.com/rss/live/live.xml\">网页链接</a>\n\n</div>\n","source":"live_gelonghui","html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 11px; color: #7E829C; margin: 0;line-height: 11px;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\n湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施\n</h2>\n\n<h4 class=\"meta\">\n\n\n2026-07-09 18:21 北京时间&nbsp;&nbsp;&nbsp;<a href=https://www.gelonghui.com/rss/live/live.xml><strong>格隆汇</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施，经查，该分公司存在以下问题：一是证券投资顾问业务推广环节留痕记录不完整。二是个别员工在没有签订证券投资顾问服务协议的情况下向客户提供证券投资建议。三是个别员工客户招揽行为不规范,在证券投资顾问业务营销过程中存在误导性宣传的行为。湖北证监局决定对该分公司采取出具警示函的行政监管措施,并记入证券期货市场诚信档案。湖北证监局要求该公司应高度重视，...</p>\n\n<a href=\"https://www.gelonghui.com/rss/live/live.xml\">网页链接</a>\n\n</div>\n\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"BK0276","symbol_name":"资本市场","start_time":0,"source_url":"https://www.gelonghui.com/rss/live/live.xml","article_id":"2650259923","we_media_id":null,"thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=2650259923","pubTimestamp":1783592486,"columns":[],"sourceInfo":{"source_id":"live_gelonghui","name":"格隆汇"},"weMediaInfo":null,"summary":"湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施，经查，该分公司存在以下问题：一是证券投资顾问业务推广环节留痕记录不完整。二是个别员工在没有签订证券投资顾问服务协议的情况下向客户提供证券投资建","collect":0,"end_time":0,"defaultTopTitle":"gelonghui.com","property":[],"viewcount":null,"language":"zh","relate_stocks":{"600906":"财达证券","BK0276":"资本市场"},"translate_title":"Hubei Securities Regulatory Bureau takes administrative supervision measures for issuing warning letters to Caida Securities Hubei Branch","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"600906":1.5},"content_text":"湖北证监局对财达证券湖北分公司采取出具警示函行政监管措施，经查，该分公司存在以下问题：一是证券投资顾问业务推广环节留痕记录不完整。二是个别员工在没有签订证券投资顾问服务协议的情况下向客户提供证券投资建议。三是个别员工客户招揽行为不规范,在证券投资顾问业务营销过程中存在误导性宣传的行为。湖北证监局决定对该分公司采取出具警示函的行政监管措施,并记入证券期货市场诚信档案。湖北证监局要求该公司应高度重视，采取有效措施切实整改，强化从业人员执业行为监督，提升合规管理水平。","kind":"live","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":true,"is_publish_wemedia":false,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":0,"need_auth":false,"need_login_tip":false,"code":"91000000","status":"200"},"commentList":[],"isCommentEnd":true,"newsSizeData":{"likeSize":0,"commentSize":0,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"APP":{"userAgent":"Mozilla/5.0 AppleWebKit/537.36 (KHTML, like Gecko; compatible; ClaudeBot/1.0; +claudebot@anthropic.com)","isDev":false,"isTTM":false,"isLaohu8Offline":false,"tenantId":"TBCN","deviceId":"web-server-community-laohu8-v3","version":"4.44.1","shortVersion":"4.44.1","platform":"web","vendor":"web","appName":"laohu8","isIOS":false,"isAndroid":false,"isTiger":false,"isTHS":false,"isWeiXin":false,"isWeiXinMini":false,"isWeiBo":false,"isQQ":false,"isBaiduSwan":false,"isBaiduBox":false,"isDingTalk":false,"isToutiao":false,"isOnePlus":false,"isHuaWei":false,"isXiaomi":false,"isXiaomiWebView":false,"isOppo":false,"isVivo":false,"isSamsung":false,"isMobile":false},"href":"/m/news/2650259923","isCrawlerRequest":true}