每經AI快訊，北京證(zheng)監局對中國銀河證(zheng)券(quan)(quan)股(gu)份有(you)限公(gong)司采取出具警示函行政監管(guan)(guan)措(cuo)施。經(jing)查(cha),銀河證(zheng)券(quan)(quan)存在開(kai)展場外(wai)期權及(ji)(ji)股(gu)票質押業務不(bu)審慎,對從(cong)業人員及(ji)(ji)其(qi)配偶、利(li)害關系人投資行為監控不(bu)到位的(de)情(qing)況,反映出公(gong)司未能有(you)效實施合規(gui)管(guan)(guan)理(li),違反了《證(zheng)券(quan)(quan)公(gong)司和證(zheng)券(quan)(quan)投資基金(jin)管(guan)(guan)理(li)公(gong)司合規(gui)管(guan)(guan)理(li)辦法(2020年(nian)修訂)》第三條的(de)規(gui)定。