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據報中證監擬對廣發證券採行政監管措施 暫停保薦機構資格半年
阿思達克 07-10 17:20
《上證報》報道,據中證監會消息,該會對廣發證券(01776.HK)在康美藥業相關投行業務中的違規行為依法下發行政監管措施事先告知書,擬對廣發證券採取暫停保薦機構資格6個月、暫不受理債券承銷業務有關文件12個月的監管措施。對14名直接責任人及負有管理責任的人員分別採取認定為不適當人選10年至20年、公開譴責等。

報道指,在相關業務風險爆發後,中證監對廣發證券2014年以來相關投行業務情況進行全面核查。經查,廣發證券在相關投行項目執業過程中存在盡職調查環節基本程序缺失、缺乏應有的執業審慎、內部質量控制流於形式等問題。根據規定,中證監擬對廣發證券採取前述暫停業務、實施整改等監管措施,並嚴肅追責相關責任人員。

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