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4月16日，反映出公司未能有效實施合規管理，北京證監局決定對銀河證券采取出具警示函的行政監管措施。 根據《證券公司和證券投資基金管理公司合規管理辦法(2020年修訂)》第三十二條第一款，中國證監會北京監管局發布關於對中國銀河證券股份有限公司采取出具警示函行政監管措施的決定 。銀河證券存在開展 北京證監局表示， 經查，對從業人員及其配偶、（文章來源 ：上海證券報·中國證券網）利害關係光算光算谷歌seo爬虫池人投資行為監控不到位的情況， |
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