國海證券(000750.SZ)涉嫌未勤勉盡責被沒收違法所得1,798萬人幣
國海證券(000750.SZ)公佈,收到中國證監會行政處罰及市場禁入事先告知書,指公司爲勝通集團發行公司債券提供服務涉嫌未勤勉盡責案,已由中國證監會調查完畢。
中證監依法擬對公司及相關人員作出行政處罰及採取市場禁入措施,擬決定對國海證券責令改正,給予警告,沒收違法所得1,798萬元人民幣(下同),並處以60萬元罰款。同時,對孫彥飛給予警告,並處以30萬元罰款;對劉延冰給予警告,並處以20萬元罰款;對沈婧給予警告,並處以10萬元罰款,並擬決定對孫彥飛採取五年證券市場禁入措施。(ta/s) ~
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