招商證券(06099.HK)遭中證監責令改正 沒收業務收入及罰款各3,150萬人幣
招商證券(06099.HK)公布,有關公司擔任中安科(原名上海飛樂、中安消股份)重大資產重組項目之獨立財務顧問,遭中證監責令改正違法行為,沒收業務收入3,150萬元人民幣(下同),並處以3,150萬元罰款;並對項目主辦人陳軒壁、俞新平給予警告,並分別處以5萬元罰款。
經中證監另案查明,中安消技術未及時提供真實、準確的盈利預測信息和虛增2013年營業收入,導致中安科公開披露的重大資產重組文件存在誤導性陳述、虛假記載。中安消技術將「班班通」項目計入2014年度《盈利預測報告》,在「班班通」項目難以繼續履行的情況下,未及時提供真實、準確信息,導致提供給中安科的信息不真實、不準確,存在誤導性陳述,致使重組置入資產評估值嚴重虛增,中安科據此虛增評估值發行股份,嚴重損害上市公司及其股東合法權益。
中證監指出,招商證券製作、出具的《獨立財務顧問報告》對相關盈利預測、置入資產評估值均有引用,存在誤導性陳述。公司未對「班班通」項目予以必要的關注,未對「班班通」項目中標情況和實際進展情況予以審慎核查,對製作、出具《獨立財務顧問報告》所引用文件內容的真實性、準確性、完整性未進行充分核查和驗證。
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