浙商证券：未识别廉洁从业风险点，收到监管谈话监管措施

同花顺09-17

近日，浙江证监局披露《关于对浙商证券（601878）股份有限公司杭州杭大路营业部、俞杭采取监管谈话行政监管措施的决定》。经查实，浙商证券（601878）杭州杭大路营业部未识别廉洁从业风险点，违反了《证券期货经营机构及其工作人员廉洁从业规定》(证监会令第145号、证监会令第202号)第六条第一款的规定。俞杭作为营业部负责人，对上述问题负有责任。根据《证券期货经营机构及其工作人员廉洁从业规定》(证监会...

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