每經AI快訊，日前(qian)，上(shang)(shang)海(hai)證(zheng)(zheng)監(jian)局(ju)官網掛出一則行政監(jian)管(guan)(guan)(guan)措(cuo)施，對(dui)(dui)德(de)邦(bang)證(zheng)(zheng)券(quan)(quan)時任債(zhai)券(quan)(quan)自(zi)(zi)營業務(wu)部(bu)(bu)門負責人(ren)(ren)采取(qu)監(jian)管(guan)(guan)(guan)談話措(cuo)施。2019年上(shang)(shang)半年，德(de)邦(bang)證(zheng)(zheng)券(quan)(quan)在(zai)開(kai)展債(zhai)券(quan)(quan)投(tou)資交(jiao)易(yi)過程中，存在(zai)公(gong)(gong)司(si)自(zi)(zi)營違規為德(de)邦(bang)基金管(guan)(guan)(guan)理有限公(gong)(gong)司(si)代持相關(guan)債(zhai)券(quan)(quan)，未對(dui)(dui)相關(guan)交(jiao)易(yi)存在(zai)的利益沖突(tu)進行審批的情(qing)形，反映出公(gong)(gong)司(si)內部(bu)(bu)控制不(bu)完善。上(shang)(shang)海(hai)證(zheng)(zheng)監(jian)局(ju)認為，郭某煒作為公(gong)(gong)司(si)時任分管(guan)(guan)(guan)債(zhai)券(quan)(quan)自(zi)(zi)營業務(wu)高級管(guan)(guan)(guan)理人(ren)(ren)員和債(zhai)券(quan)(quan)自(zi)(zi)營業務(wu)部(bu)(bu)門負責人(ren)(ren)，對(dui)(dui)上(shang)(shang)述違規行為負有領導責任。（上(shang)(shang)證(zheng)(zheng)報）