中泰證券(600918.SH):有關史丹利的相關研報內容出現重大錯誤等 收到責令改正的行政監管措施決定書
格隆匯12月25日丨中泰證券(600918.SH)公佈,公司於近日收到中國證券監督管理委員會山東監管局《關於對中泰證券股份有限公司採取責令改正監管措施的決定》([2020]78號),具體內容如下:
“經查,我局發現你公司存在以下問題:一、在製作和發佈關於史丹利農業集團股份有限公司的研究報吿《轉型農業服務商,打開成長新空間》過程中,未能遵循獨立、客觀、公平審慎原則,未對引用的重要信息和數據的真實性和可靠性進行核實,導致該研報內容出現重大錯誤,客觀上傳播了虛假、不實、誤導性信息。二、對部分同一MAC地址或手機委託監控預警事項未及時有效處理。
上述問題一違反了《發佈證券研究報吿暫行規定》(證監會公吿[2010]第28號)第三條和第九條的規定,上述問題二違反了《證券經紀人管理暫行規定》(證監會公吿[2009]第2號)第十八條和第二十七條的規定,反映出你公司內部控制不完善。依據《證券公司監督管理條例》第七十條的規定,我局決定對你公司採取責令改正的行政監管措施。你公司應認真進行整改,於2021年1月15日之前向我局提交書面整改報吿。
如果對本監督管理措施不服,可以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,進一步加強內部控制管理。目前,公司經營情況正常,敬請投資者注意投資風險。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.