News list for " standardized operation"

On September 11, the Dealers Association found in its self-discipline management that some securities companies, in the process of carrying out investment advisory services for small and medium-sized banks, have problems such as controlling customer transactions, mixing self-operated and investment advisory services, and adjusting income and interest transfer between different accounts through disguised pools of funds. In order to strengthen the regulation of the bond market and promote the smoo...

2024-09-11 03:46:10