网络营销合规管控不足,天富期货被责令改正
Shen Zhen Shang Bao·2025-12-26 10:17

Group 1 - The core issue is that Tianfu Futures Co., Ltd. has been subjected to corrective measures due to two violations identified by the Jilin Securities Regulatory Bureau [1] - The first violation involves insufficient compliance control during internet marketing, where the compliance department failed to effectively monitor employees' use of WeChat groups, and some marketing personnel used WeChat screenshots containing investment advice without proper signatures or risk disclosures [1] - The second violation pertains to deficiencies in internal control management related to intermediary and employee management, indicating that the company's compliance and risk management practices are merely formalities due to close cooperation with external entities [1] Group 2 - Tianfu Futures is located in the Economic Development Zone of Changchun City and is controlled by Jilin Province Trust Co., Ltd., which has strong capital strength and significant regional influence [1]