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海通證券AH股均大幅低開 因財務顧問工作涉嫌違規被證監會立案調查
格隆匯9月9日丨海通證券(6837.HK)低開4.49%,報7.24港元;海通證券(600837.SH)低開5.56%。9月8日盤後,海通證券發佈公吿稱,於9月7日收到證監會《立案吿知書》和《調查通知書》。因公司在開展西南藥業股份有限公司(現奧瑞德光電股份有限公司)財務顧問業務的持續督導工作期間未勤勉盡責,涉嫌違法違規,根據證券法等法律法規,證監會決定對公司進行立案並調查相關情況。今年以來,海通證券多次因合規問題遭監管“點名”。8月24日,海通證券收到上海證監局下發的五份罰單。此外,今年3月,海通證券、其子公司海通資管及相關責任人員分別收到證監會出具的行政監管措施決定書。

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