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for (var i = 0,len = adKeys.length; i 11月5日,中國證券監督管理委員會上海監管局公示了兩份關于信達證券股份有限公司上海投資咨詢分公司以及相關負責人的處罰決定。而在今年10月底,中證協剛披露的2023年券商發布證券研究報告業務經營情況中,重申了券商在聘請外部專家時應加以合規管理。 經查,信達證券上海分公司在邀請外部專家參與證券投資咨詢服務以外咨詢服務時,存在相關管控不到位,未嚴格規范有關從業人員的執業行為等問題。上述行為違反了相關規定,上海監管局依規分別對信達證券上海分公司以及負責人韓某杰采取出具警示函的行政監管措施。因對邀請外部專家管控不到位 信達證券遭監管警示
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