海通證券(06837.HK)遭重慶證監局罰款300萬人幣
海通證券(06837.HK)公佈,於週二(28日)收到重慶證監局《行政處罰事先告知書》,指公司涉嫌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,包括責令公司改正,沒收財務顧問業務收入100萬元人民幣(下同),並處以300萬元罰款;並對時任奧瑞德持續督導期獨立財務顧問主辦人李春、賈文靜給予警告,並分別處以5萬元罰款。
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