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中州證券(01375.HK):收到河南證監局行政監管措施決定書和事先告知書
格隆匯 08-30 18:08

格隆匯 8 月 30日丨中州證券(01375.HK)公佈,公司資產管理業務存在對投資標的的真實性核查不足,盡職調查缺失;債券交易管控存在漏洞;投資運作違反合同約定的投資策略;未能有效規避利益衝突,河南證監局責令公司對上述問題予以改正並決定對朱建民、王曉剛、張愛民出具警示函的行政監管措施。公司兩隻投向閩興藥業的集合資管計劃盡職調查存在缺失,未能發現應收賬款的真實性存在問題,河南證監局擬認定姜東、趙陽為不適當人選,在決定做出之日起1年內不得擔任證券公司資產管理業務投資經理等職務或者實際履行上述職務。

公司完全接受河南證監局行政監管措施的決定,將嚴格按照監管要求全面完成整改及內部合規檢查,並按時向河南證監局提交書面報告。

資產管理業務非標融資項目出現風險後,公司高度重視,已全面停止開展此類非標融資業務,並安排專人對存續非標融資項目進行細緻排查梳理,推進存續非標融資項目的風險化解工作。公司資產管理業務在加強存續產品管理和風險化解的同時,結合資管新規監管導向要求和行業發展趨勢,認真落實資管新規要求,強化基礎制度制定修訂,以提升主動管理能力為核心,採取差異化和適度規模化的業務策略,盡力避免發生類似風險事件。

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