華林證券(002945.SZ)：被限制新增各項業務規模3個月
格隆匯1月3日丨華林證券(002945.SZ)公佈，近日，公司收到中國證券監督管理委員會《關於對華林證券股份有限公司採取限制業務活動措施的決定》(中國證券監督管理委員會行政監管措施決定書〔2019〕60號)，原文如下：
"經查，我會發現你公司存在以下違規行為：一是公司章程以及各項制度中均沒有規定各內控部門的職責分工。二是對高級管理人員和下屬各單位進行考核時，未由合規總監出具書面合規性專項考核意見。三是對子公司合規管控不足，如從未對子公司進行合規檢查；未向另類子公司選派合規負責人，向私募子公司選派的合規負責人主要在母公司辦公。四是未對投行、資產證券化業務等出現重大風險或違規問題涉及的責任人或責任部門進行問責。五是公司董事會、監事會、經理層中大量職位由存在關聯關係的人員擔任，甚至部分關鍵職位由一人兼任(代行)，公司內部難以形成有效的監督制衡。六是總經理林立除在公司任職外，還擔任了深圳市立業集團有限公司等4家公司董事。七是監事會主席任職不符合《公司章程》第一百九十五條的規定、公司董事會授權不明確等。
上述情況違反了《證券公司和證券投資基金管理公司合規管理辦法》第二十一條、第二十四條、第二十七條，《證券公司董事、監事和高級管理人員任職資格監管辦法》第三十七條，《證券公司內部控制指引》第七條，《證券公司合規管理實施指引》第二十條的規定，反映出你公司內部控制不完善、治理結構不健全。按照《證券公司監督管理條例》第七十條的規定，我會決定對你公司採取限制新增各項業務規模3個月的行政監管措施。
如果對本監督管理措施不服，可以在收到本決定書之日起60日內向我會提出行政複議申請，也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間，上述監督管理措施不停止執行。"
公司已按照監管要求積極整改。
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