证券投资顾问业务合规管理

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长江证券因投顾业务合规问题被湖北证监局出具警示函
Xin Lang Cai Jing· 2025-07-01 11:26
Group 1 - The core viewpoint of the article is that Changjiang Securities Co., Ltd. has received an administrative warning from the Hubei Securities Regulatory Bureau due to incomplete record-keeping in its securities investment advisory business, which violates relevant regulations [1] - The Hubei Securities Regulatory Bureau's decision reflects inadequate compliance management in Changjiang Securities' investment advisory operations, indicating a breach of the Compliance Management Measures for Securities Companies and Securities Investment Fund Management Companies [1] - Changjiang Securities is required to learn from this incident and prevent similar occurrences in the future, as mandated by the regulatory authority [1] Group 2 - Changjiang Securities has the right to appeal the supervisory measures within 60 days or file a lawsuit within 6 months, but the enforcement of the measures will not be suspended during this period [2]