華安證券(600909.SH)收到證監會安徽監管局行政監管措施決定書
格隆匯 11 月 9日丨華安證券(600909.SH)公佈,公司於近日收到中國證券監督管理委員會安徽監管局《關於對華安證券股份有限公司採取責令改正並增加內部合規檢查次數措施的決定》([2020]26號),具體內容如下:
“經查,你公司存在以下問題:一是公司在負責湖南奧莎動力集團股份有限公司掛牌申請和持續督導工作中,盡職調查不夠充分、內核把關不夠嚴格、持續督導不夠盡責;二是公司廉潔從業風險管控機制建設不夠完善,對員工執業行為規範性缺乏有效約束。
上述行為違反了《非上市公眾公司監督管理辦法》(證監會令第96號)第六條和第五十四條、《證券期貨經營機構及其工作人員廉潔從業規定》第五條、第六條和第十三條以及《證券公司監督管理條例》第二十七條第一款的規定。
根據《證券公司監督管理條例》第七十條的相關規定,我局決定對你公司採取責令改正並增加內部合規檢查次數的行政監管措施,並提出以下要求:
1.你公司應在收到本行政監督管理措施文書之日起30日內對上述問題進行整改,並向我局報送整改報告。
2.你公司應在收到本行政監督管理措施文書之日起6個月內,每3個月開展一次內部合規檢查,並在每次檢查後10個工作日內,向我局報送合規檢查報告。
如果對本監督管理措施不服,可在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請,也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟。複議與訴訟期間,上述監督管理措施不停止執行。”
公司將按照監管要求積極整改,上述行政監管措施決定對公司經營無重大影響。目前,公司經營情況正常,敬請投資者注意投資風險。
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