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中证协对16家证券公司采取自律惩戒措施 并记入诚信系统
2017-09-26 09:22:54 中国经济网
新华网北京9月26日电 记者从中国证券业协会获悉,近日,中证协对在担任公司债受托管理人履职过程中存在违反自律规则行为的16家证券公司采取了自律惩戒措施,其中对2家采取了责令整改的自律管理措施,对14家采取了警示的自律管理措施。上述自律惩戒措施均记入协会诚信系统。本次自律惩戒措施是针对2016年证监会债券部组织各证监局对辖区内公司债券发行人专项现场检查结果所发现问题做出。
另外,中证协还对7名违反自律规则的从业人员采取了注销执业证书,两年或三年不受理执业证书申请的自律惩戒措施。上述自律惩戒措施均记入证监会及协会诚信系统。上述从业人员违规行为包括:在任职期间假冒所在机构名义对外开展债券代持交易;协助与其利益冲突的部门销售债券;利用资产管理产品和信托产品进行异常交易;借用客户证券账户,为客户与他人之间的融资活动提供中介服务行为;违规操作客户账户;未经所在机构授权,超出执业范围向客户推荐介绍他人操作客户账户、为客户与他人委托理财提供便利等。
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