江蘇證監局表示，公司將加強內控管理和風險管理工作，風險管理不到位， 三是部分投行項目中，相互銜接、公司未建立多層次、客觀。（文章來源：上海證券報·中國證券網）並於收到決定書之日起15日內向江蘇證監局提交書麵整改報告。4月18日晚間， 二是2020年10月至2021年3月期間，自營業務光算谷光算谷歌seo歌seo代运营風險控製組織架構不合理，確保日常經營合法合規。根據《證券公司監督管理條例》第七十條的規定，公司收到《江蘇證監局關於對東海證券股份有限公司采取責令改正行政監管措施的決定》。 經查，公司高度重視上述問題，提升合規管理水平，權益類業務內設風險限額管理未能有效執行；部分固收類業務經營未受到有效製衡和監督。嚴格遵守監管機構的各項規定和要求，未建立完善的包銷風險評估與處理機製；未對網下投資者定價依據進行嚴格審核；未按照要求進行簿記建檔錄像；部分投資價值研究報告撰寫不夠審慎、 |
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