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中證監集中公布29條投行業務違規處罰信息 海通、中金公司、中信証券在列
阿思達克 04-07 08:57
中國證監會網站公布29條投行業務違規處罰信息,落款日期大多在1月-3月之間,涉及中山証券、中信建投証券(06066.HK)(601066.SH)、海通證券(06837.HK)(600837.SH)、中金公司(03908.HK)(601995.SH)、國金証券(600109.SH)、東方証券(03958.HK)(600958.SH)、中信証券(06030.HK)(600030.SH)和五礦證券等多家證券公司。

相關業務負責人受到監管談話、警示函監管措施等不同程度的行政處罰。券商違規行為多包括對發行人核查不充分、內部控制有效性不足、未勤勉盡責督促發行人等。(ta/w)

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