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中国国际期货被采取责令整改 存在两方面合规问题

文章来自:鉴古论今
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发布时间:2022-03-23 17:57:05
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关于对中国国际期货股份有限公司采取责令改正监管措施的决定

中国国际期货股份有限公司:

经查,你公司存在以下问题:一是《公司章程》部分内容与法规冲突,《公司章程》在董事和高管任职期限、监事会运行等方面的要求未得到严格执行。二是你公司内部管理资料保管不完善。

上述问题不符合《期货公司监督管理办法》第四十条、第六十条的规定。根据《期货公司监督管理办法》第一百零九条的规定,我局决定对你公司采取责令改正的监管措施。你公司应当自收到本决定书之日起,立即开展全面自查整改工作,严格落实《期货公司监督管理办法》及相关规定。你公司应当于2022年4月20日前完成自查整改工作并提交书面报告,我局将对自查整改情况进行验收检查。

如果对本监督管理措施不服,可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复议申请,也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议和诉讼期间,上述监督管理措施不停止执行。

中国证监会北京监管局

2022年3月17日   

中国国际期货被采取责令整改 存在两方面合规问题海量资讯、精准解读,尽在本站财经APP
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