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江蘇證監局對華泰證券股份有限公司采取責令改正監管措施。決定對華泰證券采取責令改正的監管措施。三 、華泰證券存在以下問題：一 、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 、對部分客戶適當光光算谷歌seo算谷歌seo代运营性管理及督促義務履行不到位。《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、（文章來源：財聯社）二、跟投業務內部控製不完善 。四 |
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