涉違反場外期權合約管理條例 中證監:向中金(03908.HK)發出警示函
中證監發布公告表示,經調查發現中金(03908.HK)的一筆場外期權合約對手方為非專業機構投資者,違反《證券公司場外期權業務管理辦法》第二十四條規定,反映出公司合規管理不到位。
中證監表示,根據《證券公司和證券投資基金管理公司合規管理辦法》第三條、第三十二條的規定,決定採取發出具警示函的行政監督管理措施。
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