中證監對中信、海通、中金及光大證券等採取責令整改措施
中國證監會發布公告指出,對中信証券(06030.HK)(600030.SH)和光大證券(06178.HK)(601788.SH)券商採取責令改正措施,主因其存在設立境外公司未上報中證監批准、未有壓縮境外子公司層級架構及未能按時限要求完成境外子公司股權架構調整工作等。
中證監會依照規定責令海通證券(06837.HK)(600837.SH)改正,其存在境外子公司恆信金融集團下屬至少12家機構的設立未按規定履行或者履行完畢備案程序,如恆信金融集團的相關層級調整計劃直至2021年8月才報告及海通國際控股有限公司的公司章程未按照《境外辦法》的規定完成修訂等行為。
此外,中證監還發布對中金公司(03908.HK)(601995.SH)採取出具警示函措施,其主要問題包括46家冗餘的SPV未在規定期限內完成清理及未按規定修改境外子公司的章程等。中國信達(01359.HK)旗下信達證券則存在的問題為未完成香港控股平台的設立及在整改時限內工作進展緩慢等問題。(ta/w)
~
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.