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查！恒泰證券違規(guī)為客戶開(kāi)創(chuàng)業(yè)板

發(fā)布時(shí)間：2015-05-23 06:34:45 來(lái)源：廣州日?qǐng)?bào) 作者：佚名責(zé)任編輯：羅伯特

　　又訊深交所昨晚公告，近日，恒泰證券創(chuàng)業(yè)板投資者適當(dāng)性前端控制失效，導(dǎo)致40名客戶違規(guī)參與創(chuàng)業(yè)板股票交易。深交所發(fā)出監(jiān)管函，對(duì)恒泰證券采取書(shū)面警示措施，要求自查整改，并約見(jiàn)公司高管。深交所將繼續(xù)加強(qiáng)創(chuàng)業(yè)板投資者適當(dāng)性管理，對(duì)于違反相關(guān)規(guī)定的會(huì)員，按照自律管理規(guī)則嚴(yán)肅處理。（證券時(shí)報(bào)網(wǎng)）

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