苏宁基金销售被责令改正，涉人员资质及内控等问题

蓝鲸财经07-31

蓝鲸新闻7月31日讯，近日，江苏证监局发布行政监管措施决定书，剑指南京苏宁基金销售有限公司。决定书显示，南京苏宁基金销售有限公司存在以下情形：一、人员资质及考核管理方面部分从业人员未能及时取得基金从业资质;公司对基金销售人员的考核指标中未纳入投资人长期投资收益等指标,未能体现对存量基金产品持续销售、定期定额投资等业务的激励安排。二、内控合规管理方面部分产品准入缺少合规审查和风险评估;部分产品宣传...

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.laohunote.com/m/news/2655335704?lang=zh_CN&edition=full","thumbnail":"","is_english":false,"pubTime":"2026-07-31 11:11","share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","id":"2655335704","market":"hk","top_or_hot":-1,"title":"苏宁基金销售被责令改正，涉人员资质及内控等问题","media":"蓝鲸财经","content":"<div>\n<p>蓝鲸新闻7月31日讯，近日，江苏证监局发布行政监管措施决定书，剑指南京苏宁基金销售有限公司。决定书显示，南京苏宁基金销售有限公司存在以下情形：一、人员资质及考核管理方面部分从业人员未能及时取得基金从业资质;公司对基金销售人员的考核指标中未纳入投资人长期投资收益等指标,未能体现对存量基金产品持续销售、定期定额投资等业务的激励安排。二、内控合规管理方面部分产品准入缺少合规审查和风险评估;部分产品宣传...</p>\n\n<a href=\"https://www.lanjinger.com/d/1785462657562794459\">网页链接</a>\n\n</div>\n","source":"lanjinger_stock","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>苏宁基金销售被责令改正，涉人员资质及内控等问题</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苏宁基金销售被责令改正，涉人员资质及内控等问题\n</h2>\n\n<h4 class=\"meta\">\n\n\n2026-07-31 11:11 北京时间&nbsp;&nbsp;&nbsp;<a href=https://www.lanjinger.com/d/1785462657562794459><strong>蓝鲸财经</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>蓝鲸新闻7月31日讯，近日，江苏证监局发布行政监管措施决定书，剑指南京苏宁基金销售有限公司。决定书显示，南京苏宁基金销售有限公司存在以下情形：一、人员资质及考核管理方面部分从业人员未能及时取得基金从业资质;公司对基金销售人员的考核指标中未纳入投资人长期投资收益等指标,未能体现对存量基金产品持续销售、定期定额投资等业务的激励安排。二、内控合规管理方面部分产品准入缺少合规审查和风险评估;部分产品宣传...</p>\n\n<a href=\"https://www.lanjinger.com/d/1785462657562794459\">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":"BK0170","symbol_name":"新零售","start_time":0,"source_url":"https://www.lanjinger.com/d/1785462657562794459","article_id":"2655335704","we_media_id":null,"thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=2655335704","pubTimestamp":1785467500,"columns":[],"sourceInfo":{"source_id":"lanjinger_stock","name":"蓝鲸财经"},"weMediaInfo":null,"summary":"蓝鲸新闻7月31日讯，近日，江苏证监局发布行政监管措施决定书，剑指南京苏宁基金销售有限公司。以上行为违反了《公开募集证券投资基金销售机构监督管理办法》《证券期货业反洗钱工作实施办法》《公开募集证券投资基金宣传推介材料管理暂行规定》等相关规定。针对上述违法行为，江苏证监局对南京苏宁基金销售有限公司采取责令改正的行政监督管理措施。","collect":0,"end_time":0,"defaultTopTitle":"lanjinger.com","property":[],"viewcount":null,"language":"zh","relate_stocks":{"BK0170":"新零售","BK0108":"虚拟现实","BK0070":"员工持股","BK0196":"行业龙头","BK0154":"移动互联网入口","BK0079":"移动转售","BK0137":"电子商务","BK0095":"互联网金融","BK0183":"MSCI概念","BK0188":"融资融券","BK0209":"零售","BK0093":"O2O","BK0055":"第三方支付","BK0116":"体育","BK0039":"民营银行","BK0126":"智能电视","BK0028":"国家队","002024":"ST易购","BK0107":"跨境电商"},"translate_title":"Suning Fund Sales was ordered to make corrections, involving personnel qualifications and internal control","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"002024":1.5},"content_text":"蓝鲸新闻7月31日讯，近日，江苏证监局发布行政监管措施决定书，剑指南京苏宁基金销售有限公司。决定书显示，南京苏宁基金销售有限公司存在以下情形：一、人员资质及考核管理方面部分从业人员未能及时取得基金从业资质;公司对基金销售人员的考核指标中未纳入投资人长期投资收益等指标,未能体现对存量基金产品持续销售、定期定额投资等业务的激励安排。二、内控合规管理方面部分产品准入缺少合规审查和风险评估;部分产品宣传推介材料合规审查不到位;宣传推介材料存在表述不当或不准确的情形;部分客户历史风险测评问卷等资料未妥善保存;公司部分业务流程未能与股东实现完全独立等。三、信息报送方面未按规定报送反洗钱相关工作情况。以上行为违反了《公开募集证券投资基金销售机构监督管理办法》《证券期货业反洗钱工作实施办法》《公开募集证券投资基金宣传推介材料管理暂行规定》等相关规定。针对上述违法行为，江苏证监局对南京苏宁基金销售有限公司采取责令改正的行政监督管理措施。","kind":"news","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":false,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":1,"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/2655335704","isCrawlerRequest":true}