海通證券(600837.SH)收到證監會重慶監管局行政處罰事先吿知書
格隆匯9月28日丨海通證券(600837.SH)公佈,2021年9月28日,公司收到了中國證監會重慶監管局(以下簡稱"重慶證監局")《行政處罰事先吿知書》(處罰字〔2021〕5號),主要內容如下:公司涉嫌奧瑞德光電股份有限公司(以下簡稱"奧瑞德")持續督導未勤勉盡責一案,重慶證監局已調查完畢,依法擬對公司及相關人員作出行政處罰。
根據海通證券違法行為的事實、性質、情節與社會危害程度,依據2005年《證券法》第二百二十三條的規定,重慶證監局擬作出以下決定:"一、責令海通證券改正,沒收財務顧問業務收入100萬元,並處以300萬元罰款;二、對李春、賈文靜給予警吿,並分別處以5萬元罰款。"
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.