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中州证券(01375.HK)接获河南证监局文件指存在违规
阿思达克 08-30 18:34
中州证券(01375.HK)公布,中原证券收到中国河南证监局文件,指公司资产管理业务存在违规问题,一是对投资标的的真实性核查不足,尽职调查缺失;二是债券交易管控存在漏洞;三是投资运作违反合同约定的投资策略;四是未能有效规避利益冲突。

河南证监局责令公司对上述问题予以改正,并要求公司高度重视,采取有效措施积极整改并开展内部合规检查,於10月31日前就整改完成情况及合规检查情况向河南证监局提交书面报告。

另外,河南证监局发现公司存在违规行为,包括两个投向闽兴药业的集合资管计划尽职调查存在缺失,未能发现应收账款的真实性存在问题。公司投资经理姜东、赵阳因未履行勤勉尽责义务,对此负有直接责任。河南证监局认定姜东、赵阳为不适当人选,在决定做出之日起一年内不得担任证券公司资产管理业务投资经理等职务或者实际履行上述职务。要求公司在收到认定为不适当人选决定书之日起30个工作日内,作出免除姜东、赵阳职务的决定,并在作出决定之日起3个工作日内向河南证监局书面报告。

公司表示,完全接受河南证监局行政监管措施的决定,将严格按照监管要求全面完成整改及内部合规检查,并按时向河南证监局提交书面报告。

资产管理业务非标融资项目出现风险後,公司高度重视,已全面停止开展此类非标融资业务,并安排专人对存续非标融资项目进行细致排查梳理,推进存续非标融资项目的风险化解工作。公司资产管理业务在加强存续产品管理和风险化解的同时,结合资管新规监管导向要求和行业发展趋势,认真落实资管新规要求,强化基础制度制定修订,以提升主动管理能力为核心,采取差异化和适度规模化的业务策略,尽力避免发生类似风险事件。目前,公司经营情况正常,财务状况和偿债能力未受影响。

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