You are browsing the Hong Kong website, Regulated by Hong Kong SFC (CE number: BJA907). Investment is risky and you must be cautious when entering the market.
海通證券(06837.HK)就對奧瑞德督導失當遭罰300萬人幣
海通證券(06837.HK)公佈,昨日(14日)收到了重慶證監局《行政處罰決定書》,指公司在執行奧瑞德2017年度持續督導過程中,未對奧瑞德(ST瑞德)(600666.SH)違規對外擔保事項保持充分關注,未獲取當期奧瑞德企業信用報告並保存於奧瑞德持續督導工作底稿中,未對當期奧瑞德企業信用報告進行必要的審閱和查看,導致未能發現奧瑞德違規對外提供擔保事項,未能發現奧瑞德相關信息披露存在遺漏。 重慶證監局決定責令海通證券改正,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,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。
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.
uSMART
Wealth Growth Made Easy
Open Account