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江蘇證監局稱，對部分客戶適當性管理及督促義務履行不到位。四、《證券公司監督管理條例》第七十條相關規定，《公開募集證券投資基金銷售機構監督管理辦法》第五十三條 、跟投業務光算谷歌seo光算谷歌外链內部控製不完善。三、決定對華泰證券采取責令改正的監管措施。（文章來源：財聯社）根據《證券公司和證券投資基金管理公司合規管理辦法》第三十二條 、從業人 |
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