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中国证券业协会对19家网下投资者采取自律措施 _ 东方财富网

【中国证券业协会对19家网下投资者采取自律措施】中国证券业协会消息,近期,针对部分科创板项目报价一致性较高的线索,协会会同上海证券交易所对19家网下机构投资者开展联合现场检查。检查及案件处理中发现,相关网下投资者主要存在内控制度不完善、定价依据不充分、未严格履行定价决策程序、工作底稿未妥善保存等问题。协会对上述19家存在违规情形的投资者采取相应自律措施。(上海证券报) ....

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