錦龍股份(000712.SZ):中山證券三項業務暫停1年 其董事長、總裁遭公開譴責
格隆匯8月20日丨錦龍股份(000712.SZ)公佈,公司從深圳證監局官方網站獲悉控股子公司中山證券及相關人員收到監管措施決定書。
經查,深圳證監局發現中山證券存在以下問題:一是1名董事不具備高管任職資格,實際履行高管職責;二是未履行公司規定程序,擅自改變公司用章及合同管理審批流程;三是印章管理混亂,存在公司印章使用審批授權和流程不清晰、未嚴格執行雙人保管要求、未完成審批流程即予用印等情形;四是未按規定向監事會報告、人員薪酬管理不完善、關聯交易管理不到位等其他公司治理與內部管理問題。
深圳證監局作出如下監督管理措施:1.自本行政監督管理措施決定作出之日起一年內,暫停新增資管產品備案,暫停新增資本消耗型業務(含股票質押式回購業務、融資融券業務、自營業務、需要跟投或包銷的承銷保薦業務),暫停以自有資金或資管資金與關聯方進行對手方交易,包括債券質押式回購交易等。2.責令限制董事長兼管委會主任林炳城、總裁胡映璐、合規總監袁玲領取2019年績效獎金等基本工資以外的報酬的權利,已領取部分應退回中山證券。
另外,深圳證監局分別對中山證券董事長兼管委會主任林炳城、中山證券總裁以及時任分管投資銀行業務的高管胡映璐、中山證券合規總監袁玲作出《採取公開譴責措施的決定》,分別對中山證券管委會主任助理黃元華、中山證券管委會副主任兼辦公室主任孫學斌、中山證券董祕及時任董事會辦公室主任、分管辦公室的管委會委員石文燕作出《採取認定為不適當人選措施的決定》。
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