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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(guó)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(shí)別義務(wù)；未按規(guī)定報(bào)送大額交易和可疑交易報(bào)告；與不明身份的客戶進(jìn)行交易等違法行為。

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