项目收费不规范、质控部门独立性不足，广发证券收证监会警示函

中新经纬07-31 18:35

31日，中国证监会官网发布关于对广发证券股份有限公司采取出具警示函措施的决定。　　经查，中国证监会发现该公司存在质控部门独立性不足、项目收费不规范等问题，上述情况违反了《证券公司和证券投资基金管理公司合规管理办法》第六条，《证券公司投资银行类业务内部控制指引》第五条、二十二条的规定。　　按照《合规办法》第三十二条的规定，中国证监会决定对该公司采取出具警示函的行政监督管理措施。中国证监会要求该公司应...

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