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深圳金融监管局对广州银行深圳分行作出行政处罚

证券之星2026年5月13日 01:27
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2026年05月13日,深圳金融监管局发布行政处罚信息公开表,内容如下:广州银行深圳分行及相关责任人内控管理不到位,对机构罚款50万元,对李勇、梁文强分别给予警告并处罚款8万元,对吴声、麦燕杏分别给予警告并处罚款6万元。广东华润银行深圳四海社区支行因管理不善导致金融许可证遗失,警告并处罚款1万元。深圳市东浩汽车贸易有限公司因管理不善导致保险中介许可证遗失,警告并处罚款0.5万元。

深圳金融监管局对广州银行深圳分行作出行政处罚

序号

当事人名称

主要违法违规行为

行政处罚内容

作出决定机关

1

广州银行深圳分行及相关责任人

内控管理不到位

对机构罚款50万元,李勇、梁文强分别给予警告并处罚款8万元,对吴声、麦燕杏分别给予警告并处罚款6万元。

深圳金融监管局

2

广东华润银行深圳四海社区支行

因管理不善导致金融许可证遗失

警告并处罚款1万元。

深圳金融监管局

3

深圳市东浩汽车贸易有限公司

因管理不善导致保险中介许可证遗失

警告并处罚款0.5万元。

深圳金融监管局

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序号

当事人名称

主要违法违规行为

行政处罚内容

作出决定机关

1

广州银行深圳分行及相关责任人

内控管理不到位

对机构罚款50万元,李勇、梁文强分别给予警告并处罚款8万元,对吴声、麦燕杏分别给予警告并处罚款6万元。

深圳金融监管局

2

广东华润银行深圳四海社区支行

因管理不善导致金融许可证遗失

警告并处罚款1万元。

深圳金融监管局

3

深圳市东浩汽车贸易有限公司

因管理不善导致保险中介许可证遗失

警告并处罚款0.5万元。

深圳金融监管局

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2026年05月13日,深圳金融监管局发布行政处罚信息公开表,内容如下:广州银行深圳分行及相关责任人内控管理不到位,对机构罚款50万元,对李勇、梁文强分别给予警告并处罚款8万元,对吴声、麦燕杏分别给予警告并处罚款6万元。广东华润银行深圳四海社区支行因管理不善导致金融许可证遗失,警告并处罚款1万元。深圳市东浩汽车贸易有限公司因管理不善导致保险中介许可证遗失,警告并处罚款0.5万元。

深圳金融监管局对广州银行深圳分行作出行政处罚

序号

当事人名称

主要违法违规行为

行政处罚内容

作出决定机关

1

广州银行深圳分行及相关责任人

内控管理不到位

对机构罚款50万元,李勇、梁文强分别给予警告并处罚款8万元,对吴声、麦燕杏分别给予警告并处罚款6万元。

深圳金融监管局

2

广东华润银行深圳四海社区支行

因管理不善导致金融许可证遗失

警告并处罚款1万元。

深圳金融监管局

3

深圳市东浩汽车贸易有限公司

因管理不善导致保险中介许可证遗失

警告并处罚款0.5万元。

深圳金融监管局

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