廣發証券(01776.HK)接獲廣東證監行政監管措施 遭暫停保薦機構資格半年
廣發証券(01776.HK)公布,公司及相關人員於昨日(20日)收到中國證監會廣東監管局的《行政監管措施決定書》,指公司在康美藥業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等項目中未勤勉盡責,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。
當局決定,於昨日至明年1月19日期間,暫停公司保薦機構資格;於昨日至明年7月19日期間,暫不受理公司債券承銷業務有關文件;責令限制高級管理人員權利,相關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。另外,部分相關人員自監管措施決定作出之日起10年以上,不得擔任證券公司證券發行上市保薦業務相關職務或者實際履行有關職務。
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