深圳证监局对方正证券深圳梅林路营业部出具警示函,因其在内部控制方面存在不足
深圳证监局3月20日公告,经查,方正证券深圳梅林路证券营业部在开展融资融券业务时存在以下情况:为个别客户上门办理业务,且身份核实不到位;为客户开立融资融券账户早于合同双方签署日。上述情况反映出该营业部在内部控制方面存在不足,违反了有关规定,决定对该营业部采取出具警示函的行政监管措施。营业部应完善内控管理,强化制度建设及执行,严格防范和控制风险,并于收到本决定书之日起30日内提交书面整改报告。
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