---
title: "上半年收到罰單 200 多張，業內：券商合規風控能力待提升"
description: "2025 年上半年，64 家券商收到 200 多張罰單，顯示出監管部門對違規行為的高壓態勢。違規炒股和投行業務問題頻現，促使券商需提升合規風控能力，以維護資本市場的健康發展。"
type: "news"
locale: "zh-HK"
url: "https://longbridge.com/zh-HK/news/247207503.md"
published_at: "2025-07-03T22:05:59.000Z"
---

# 上半年收到罰單 200 多張，業內：券商合規風控能力待提升

> 2025 年上半年，64 家券商收到 200 多張罰單，顯示出監管部門對違規行為的高壓態勢。違規炒股和投行業務問題頻現，促使券商需提升合規風控能力，以維護資本市場的健康發展。

數據顯示，2025 年上半年，共有 64 家券商收到監管部門開出的 200 餘張罰單，一案多罰、重罰，穿透式、全鏈條處罰的監管生態網已逐步形成。記者梳理發現，從業人員違規炒股屢禁不止，投行業務違規依然頻現。在業內人士看來，監管部門對各類違法違規行為保持高壓態勢，意在維護資本市場的健康發展。在嚴監嚴管背景下，券商亟須提升自身合規風控能力。（上證報）

## Related News & Research

| Title | Description | URL |
|-------|-------------|-----|
| How PTC’s (PTC) New FlexPLM Win with SPG Shapes Its Intelligent PLM Investment Story | PTC announced that SPG Company selected its FlexPLM solution to modernize product lifecycle operations, enhancing data a | [Link](https://longbridge.com/zh-HK/news/276294946.md) |
| Capfin India To Issue 1.6 Million Shares At 32.88 Rupees Each | Capfin India Ltd :CAPFIN INDIA LTD - ISSUANCE OF 1.6 MILLION SHARES AT 32.88 RUPEES EACH | [Link](https://longbridge.com/zh-HK/news/276416371.md) |
| US House lawmakers propose comprehensive aviation safety bill after fatal crash | A bipartisan group of U.S. House lawmakers has proposed a comprehensive aviation safety bill following a fatal crash in  | [Link](https://longbridge.com/zh-HK/news/276379777.md) |
| FirstService: Capitalizing on Cyclical Dislocation with Durable Growth and Conservative 2026 Upside | William Blair analyst Stephen Sheldon has reiterated a Buy rating on FirstService (FSV) stock, citing confidence in the  | [Link](https://longbridge.com/zh-HK/news/276281132.md) |
| Readystate Asset Management LP Sells 288,480 Shares of Celldex Therapeutics, Inc. $CLDX | Readystate Asset Management LP has significantly reduced its stake in Celldex Therapeutics, Inc. by 86.1%, selling 288,4 | [Link](https://longbridge.com/zh-HK/news/276326472.md) |

---

> **免責聲明**：本文內容僅供參考，不構成任何投資建議。