浙江稠州商业银行被责令改正,涉基金销售业务违规
Sou Hu Cai Jing·2025-12-01 12:33

Core Viewpoint - Zhejiang Securities Regulatory Bureau has issued administrative regulatory measures against Zhejiang Chouzhou Commercial Bank Co., Ltd. due to multiple compliance issues in its fund sales operations [1][2]. Group 1: Compliance Issues - The bank has personnel engaged in fund sales without the required qualifications [1]. - Fund promotional materials and sales business system revisions were not reviewed by compliance and risk control personnel [1]. - Dedicated compliance personnel for fund sales also held business management responsibilities, which is a conflict of interest [1]. Group 2: Regulatory Actions - The Zhejiang Securities Regulatory Bureau has mandated corrective actions for Zhejiang Chouzhou Commercial Bank and will record this in the securities and futures market integrity archive [2].

浙江稠州商业银行被责令改正,涉基金销售业务违规 - Reportify