2026年以来监管对券商开出190张罚单
2026-07-09 23:22:49
据界面新闻报道，据企业预警通数据统计，2026年以来，中国央行、中国证监会及各地证监局、证券交易所等监管机构对券商及从业人员共开出190张罚单，涉及超50家券商。其中，经纪业务罚单数量最多，主要涉及员工私下接受客户委托买卖证券、营销违规等；投行业务罚单数量次之，涉及尽职调查履职不到位、债券内控把关不严等问题。
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