嘉兴银行被责令改正,涉基金销售业务违规
Sou Hu Cai Jing·2025-12-01 12:26

Group 1 - The Zhejiang Securities Regulatory Bureau has issued an administrative regulatory decision targeting Jiaxing Bank due to multiple violations in its fund sales business [1][2] - Violations include the lack of qualification for fund sales personnel, absence of a product admission committee, and inadequate risk assessment for sold fund products [1][2] - The bank failed to fulfill special obligations when selling high-risk products to ordinary investors [1] Group 2 - The actions of Jiaxing Bank contravene the relevant provisions of the "Measures for the Supervision and Administration of Publicly Raised Securities Investment Fund Sales Institutions" and the "Measures for the Appropriateness Management of Securities and Futures Investors" [2] - As a result, the Zhejiang Securities Regulatory Bureau has mandated corrective actions and recorded the violations in the securities and futures market integrity archive [2]

嘉兴银行被责令改正,涉基金销售业务违规 - Reportify