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因人員管理規(guī)范等問題 長江證券遭受警示處罰

因人員管理規(guī)范等問題 長江證券遭受警示處罰

11月1日，湖北證監(jiān)局披露了關(guān)于對長江證券股份有限公司采取出具警示函措施的決定。

經(jīng)查，長江證券存在以下違規(guī)行為：部分從事相關(guān)業(yè)務的人員未取得從業(yè)資格;對部分從業(yè)人員注銷登記不及時;個別員工的解聘流程不規(guī)范;未在勞動合同中確定薪酬遞延支付標準、年限和比例;對高級管理人員和分支機構(gòu)負責人履職情況的內(nèi)部稽核或外部審計落實不到位;未按規(guī)定對個別高級管理人員及時進行離任審計并報送離任審計報告。

上述行為違反了相關(guān)規(guī)定，湖北證監(jiān)局對長江證券出具警示函，并記入證券期貨市場誠信檔案。

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