北京商报讯（记者 刘宇阳 郝彦）5月8日，宁波证监局发布公告称，海顺证券投资咨询有限公司（以下简称“海顺证券投资咨询”）存在集中统一管理落实不到位；员工档案管理不到位；内控制度不健全；业务推广环节留痕管理不到位；未准确了解客户身份；个别员工未注册证券投资顾问但向客户提供投资建议；个别员工向投资者出具的执业证书编码不正确的问题。
宁波证监局表示，上述行为违反多项规定，因此决定对海顺证券投资咨询采取责令增加内部合规检查次数并提交合规检查报告的行政监管措施。要求海顺证券投资咨询及时整改上述问题，并自决定做出之日起1年内，每3个月开展一次内部合规检查，并在每次检查后10个工作日内兴华配资，向宁波证监局提交合规检查报告。
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