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国贸期货内部控制缺陷较大 厦门证监局责令改正
2017-08-14 11:08:38 中国经济网
中国经济网北京8月14日讯 8月7日,厦门证监局发布关于对国贸期货有限公司采取责令改正措施的决定显示,国贸期货资产管理业务方面存在较大的内部控制缺陷,未有效执行首席风险官制度、业务隔离墙制度;委托无资质的第三方机构提供投资建议;间接为资管产品的投资者提供保本保收益安排。
厦门证监局表示,国贸期货违反《期货公司监督管理办法》第六十八条第二项、第八十八条第二项,《期货公司资产管理业务试点办法》第二十八条,《证券期货经营机构私募资产管理业务运作管理暂行规定》第三条、第五条和第十四条第八项等规定。
根据《期货交易管理条例》第五十六条和《期货公司监督管理办法》第八十八条的规定,我局决定对你司采取责令改正的行政监管措施。你司应高度重视,认真学习法律法规,采取有效措施积极整改,完善内部控制,强化合规管理,追究相关人员责任,并于收到本决定书之日起30日内向我局提交整改完成的情况报告。我局将对整改情况进行检查。
如果对本监督管理措施不服,可以在收到本决定书之日起60日内向中国证监会提出行政复议申请,也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间,上述监督管理措施不停止执行。
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