投行业务严监管继续，证监会对六家券商开出行政监管措施

每日经济新闻07-31

7月31日，证监会及属地派出机构集中披露多份投行业务相关行政监管措施决定书，对多家券商执业及内控问题进行问责。　　本次监管对象涵盖广发证券、红塔证券、世纪证券、甬兴证券、国融证券、国元证券六家券商，监管部门根据各家机构违规情节的不同，分别采取出具警示函、责令改正两类行政监管措施。　　六家券商暴露出投行内控管理与执业规范短板　　广发证券、红塔证券、世纪证券三家机构被监管出具警示函，违规问题聚焦投行...

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