A股異動 | 證券股普跌,2月以來已有5家券商被罰
首創證券跌逾4%,中金公司、財通證券、中國銀河跌逾3%,東吳證券、國元證券及長江證券等十餘股跌超2%。二月以來,監管層對於券商違規行為頻頻出手。近日,中山證券、申萬宏源、平安證券、招商證券、長城證券等5家券商及相關從業人員收到監管層罰單。其中,中山證券私募資管業務存在關聯交易管控機制不健全、內部控制不嚴、薪酬遞延、宣傳合規不足等四大問題。申萬宏源證券、平安證券違規事項均涉及債券發行。證監會決定對申萬宏源採取責令改正的行政監管措施,對平安證券採取出具警示函的行政監管措施。長城證券原副總裁韓飛因違規使用化名、借他人名義持有並買賣股票,被採取10年證券市場禁入措施,罰沒累計達1.17億元。

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