STOCKINTELLIGENCENEWS Telegram 3502402
江蘇證監局對蘇寧基金銷售有限公司採取出具警示函監管措施

經查,你公司存在以下情形:一是公司在銷售個別產品過程中,未能按照審慎經營的原則,有效執行基金銷售業務的內部控制與風險管理制度;二是公司允許個別人員在未與公司簽訂勞動合同的情況下,即開展基金銷售活動。上述情形不符合《公開募集證券投資基金銷售機構監督管理辦法》第二十五條、第三十條第二款的規定,決定對你公司採取出具警示函的監管措施。



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江蘇證監局對蘇寧基金銷售有限公司採取出具警示函監管措施

經查,你公司存在以下情形:一是公司在銷售個別產品過程中,未能按照審慎經營的原則,有效執行基金銷售業務的內部控制與風險管理制度;二是公司允許個別人員在未與公司簽訂勞動合同的情況下,即開展基金銷售活動。上述情形不符合《公開募集證券投資基金銷售機構監督管理辦法》第二十五條、第三十條第二款的規定,決定對你公司採取出具警示函的監管措施。

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