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南京證券(601990.SH)收到紀律處分正式文件 暫停新增股票質押式回購交易業務初始交易3個月
格隆匯 12-02 21:14

格隆匯12月2日丨南京證券(601990.SH)公佈,2019年10月8日,公司分別收到上海證券交易所和深圳證券交易所下發的紀律處分事先告知文件,上海證券交易所和深圳證券交易所擬對公司作出暫停股票質押回購交易權限3個月的紀律處分。

就前述事項,上交所和深交所於近日分別向公司下發正式的紀律處分決定文件,現將相關情況公告如下:

一、上海證券交易所《關於對南京證券股份有限公司予以紀律處分的決定》主要內容

根據中國證券監督管理委員會江蘇監管局《關於對南京證券股份有限公司採取出具警示函行政監管措施的決定》,公司在開展股票質押式回購交易中,存在對融入方准入盡職調查不充分、融出資金管理不完善的問題。經上海證券交易所紀律處分委員會審核通過,上海證券交易所作出如下紀律處分決定:對公司予以暫停股票質押式回購交易(限於新增初始交易)相關權限3個月的紀律處分,即自2019年11月30日(含當日)至2020年2月29日(含當日),不得新增股票質押式回購交易業務初始交易。

二、深圳證券交易所《關於對南京證券股份有限公司給予紀律處分的決定》主要內容

根據中國證券監督管理委員會江蘇監管局《關於對南京證券股份有限公司採取出具警示函行政監管措施的決定》,公司在開展股票質押式回購交易中,存在對融入方准入盡職調查不充分、融出資金管理不完善的問題,經深圳證券交易所紀律處分委員會審議通過,深圳證券交易所作出如下處分決定:對公司作出暫停股票質押回購交易權限3個月的處分,自2019年11月30日起(含當日)至2020年2月29日止(含當日),不得新增股票質押回購初始交易。

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