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廣發証券(01776.HK)因康美藥業造假被暫停保薦資格6個月
阿思達克 07-13 11:31
廣發証券(01776.HK)公布,收到中國證券監督管理委員會廣東監管局《關於對廣發証券股份有限公司採取責令改正、限制業務活動、責令限制高級管理人員權利監管措施的事先告知書》。

告知書指,公司在康美藥業(600518.SH)2014年非公開發行優先股項目、2015年公司債券項目、2016年非公開發行股票項目、2018年公司債券項目、康美實業投資控股有限公司2017年可交換公司債券項目中未勤勉盡責,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,未按規定履行持續督導與受託管理義務,違反《保薦管理辦法》。

按規定,監管局擬對公司採取責令改正、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、責令限制高級管理人員權利的監管措施,其中責令限制高級管理人員權利的監管措施具體為:限制時任分管相關投行業務的副總經理歐陽西領取2014年度、2015年度、2016年度基本工資以外薪酬的權利,限制時任分管相關投行業務的副總經理秦力領取2017年度、2018年度基本工資以外薪酬的權利,已領取部分應全部退回公司。

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