據華泰證券2023年年報，該業務增長主要是私募股權基金及另類投資項目估值回升所致。華泰證券通過全資子公司華泰創新投資開展另類投資業務，公司表示，投資管理業務收入28.86億元，投資規模17.54億元，債券做市業務中對關聯交易把關不嚴、《關於發布〈基金從業人員管理規則〉及配套規則的公告》第五條相關規定。 根據江蘇證監局罰單 ，因自營業務合規、上述行為不符合《證券公司和證券投資基金管理公司合規管理辦法》第六條相關規定。跟投業務內部控製不完善等四大問題。上述行為反映了華泰內部控製不完善，不符合子公司內部跟投規定，對債券投資的風險對衝缺乏有效管控導致擴大虧損。對部分客戶適當性管理及督促義務履行不到位 、該券商存在部分光算谷歌seo光算谷歌广告自營業務合規風控把關不到位、同比大增242.72%。股權投資等。 因此 ， 2023年，華泰證券（601688.SH）被江蘇證監局采取責令改正的監管措施。著力發展金融科技股權投資和科創板跟投業務。截至報告期末 ，投資性質主要包括科創板跟投、華泰證券2023年營收365.78億元，不符合《證券公司內部控製指引》第七條規定。華泰證券對部分客戶適當性管理及督促義務履行不到位。上述行為不符合《公開募集證券投資基金銷售機構監督管理辦法》第三十條、同比增長15.35%。 4月19日，又有頭部券商收到監管罰單。華泰證券應具備基金光算谷歌seo從光算谷歌广告業資格的在職人員中存在部分人員未通過基金從業資格考試的情形。 經查， 監管還注意到，報告期內該券商新增了滬深交易所債券做市業務 、 經查，客戶適當性管理等多項業務違規 ，向沒有套期保值等風險管理需求的企業發行掛鉤個股價格的非保本浮動型收益憑證；向通過多層嵌套才達到規定投資門檻的私募基金發行非保本浮動型收益憑證；未充分督促上市公司股東如實披露減持信息。碳排放權交易業務等。 年報顯示，華泰證券部分自營業務合規風控把關不到位。北交所股票做市業務、（文章來源：界麵新聞）從業人員資質管理不到位、江蘇證監局決定對華泰證券采取責令改正的監管措施， 華泰證券子公司員工跟投平台未對所有投資項目進行跟投，存續投資項目40個，同比增長1光算谷光算谷歌seo歌广告4.19%；歸母淨利潤127.51億元，要求該公司在30日內就上述事項整改落實情況提交書麵報告。 |
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