\u003c/p>\u003cp>經(jīng)查,兩家券商均涉及未按規(guī)定履行客戶身份識別義務(wù);未按規(guī)定報送大額交易和可疑交易報告;與不明身份的客戶進(jìn)行交易等違法行為。\u003c/p>\u003cp>\u003cimg class=\"empty_bg\" data-lazyload=\"https://x0.ifengimg.com/ucms/2024_45/9D9C960876D3504AFAA7727DBBBFEFB0A21D85D5_size237_w1110_h794.jpg\" src=\"data:image/png;base64,iVBORw0KGgoAAAANSUhEUgAAAAEAAAABAQMAAAAl21bKAAAAA1BMVEXy8vJkA4prAAAACklEQVQI12NgAAAAAgAB4iG8MwAAAABJRU5ErkJggg==\" style=\" width: 640px; height: 457px;\" />\u003cimg class=\"empty_bg\" data-lazyload=\"https://x0.ifengimg.com/ucms/2024_45/D12D37A1A21B9F2F7014C5936C549915DC6BAB5A_size241_w1144_h794.jpg\" src=\"data:image/png;base64,iVBORw0KGgoAAAANSUhEUgAAAAEAAAABAQMAAAAl21bKAAAAA1BMVEXy8vJkA4prAAAACklEQVQI12NgAAAAAgAB4iG8MwAAAABJRU5ErkJggg==\" style=\" width: 640px; height: 444px;\" />\u003c/p>","type":"text"}],"currentPage":0,"pageSize":1},"editorName":"劉若彤","editorCode":"PF205","faceUrl":"http://ishare.ifeng.com/mediaShare/home/607286/media","vestAccountDetail":{},"subscribe":{"type":"vampire","cateSource":"","isShowSign":0,"parentid":"0","parentname":"財經(jīng)","cateid":"607286","catename":"鳳凰網(wǎng)財經(jīng)","logo":"http://d.ifengimg.com/q100/img1.ugc.ifeng.com/newugc/20171106/10/wemedia/9ff3c57464be746cf440328dfd37fd22b47f17cb_size18_w200_h200.png","description":"鳳凰網(wǎng)財經(jīng)官方賬號","api":"http://api.3g.ifeng.com/api_wemedia_list?cid=607286","show_link":1,"share_url":"https://share.iclient.ifeng.com/share_zmt_home?tag=home&cid=607286","eAccountId":607286,"status":1,"honorName":"","honorImg":"http://x0.ifengimg.com/cmpp/2020/0907/1a8b50ea7b17cb0size3_w42_h42.png","honorImg_night":"http://x0.ifengimg.com/cmpp/2020/0907/b803b8509474e6asize3_w42_h42.png","forbidFollow":0,"forbidJump":0,"fhtId":"82146729","view":1,"sourceFrom":"","declare":"","originalName":"","redirectTab":"article","authorUrl":"https://ishare.ifeng.com/mediaShare/home/607286/media","newsTime":"2024-11-04 10:45:40","lastArticleAddress":"來自北京市"},"filterMediaList":[{"name":"鳳凰網(wǎng)財經(jīng)","id":"607286"},{"name":"國際財聞匯","id":"1609082"},{"name":"銀行財眼","id":"1444240"},{"name":"公司研究院","id":"1612328"},{"name":"IPO觀察哨","id":"1601888"},{"name":"風(fēng)暴眼","id":"1601889"},{"name":"出海研究局","id":"1613468"},{"name":"封面","id":"540061"},{"name":"前行者","id":"1580509"},{"name":"凰家反騙局","id":"1596037"},{"name":"康主編","id":"1535116"},{"name":"啟陽路4號","id":"1021158"},{"name":"財經(jīng)連環(huán)話","id":"7518"}]},"keywords":"申萬宏源,海通證券,證券,反洗錢,交易,券商,義務(wù),客戶","safeLevel":0,"isCloseAlgRec":false,"interact":{"isCloseShare":false,"isCloseLike":false,"isOpenCandle":false,"isOpenpray":false,"isCloseFhhCopyright":false},"hasCopyRight":true,"sourceReason":"","__nd__":"ne883dbn.ifeng.com","__cd__":"c01049em.ifeng.com"}; var adKeys = ["adHead","adBody","topAd","logoAd","topicAd","contentAd","articleBottomAd","infoAd","hardAd","serviceAd","contentBottomAd","commentAd","commentBottomAd","articleAd","videoAd","asideAd1","asideAd2","asideAd3","asideAd4","asideAd5","asideAd6","bottomAd","floatAd1","floatAd2"]; var __apiReport = (Math.random() > 0.99); var __apiReportMaxCount = 50; for (var i = 0,len = adKeys.length; i
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事關(guān)反洗錢!海通證券、申萬宏源證券同日收超300萬罰單

事關(guān)反洗錢!海通證券、申萬宏源證券同日收超300萬罰單

11月1日,中國人民銀行上海市分行公布兩份行政處罰信息公示表(2024年第152期、153期),涉及海通證券、申萬宏源證券兩家券商及相關(guān)責(zé)任人。其中,海通證券被處罰395萬元,申萬宏源證券被處罰349萬元,處罰日期均為2024年10月23日。

經(jīng)查,兩家券商均涉及未按規(guī)定履行客戶身份識別義務(wù);未按規(guī)定報送大額交易和可疑交易報告;與不明身份的客戶進(jìn)行交易等違法行為。

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