招商證券(06099.HK)收到中國證監會行政處罰決定書
格隆匯9月19日丨招商證券(06099.HK)公吿,2022年9月19日,公司收到了中國證監會《行政處罰決定書》,主要內容如下:依據2005年修訂的《中華人民共和國證券法》有關規定,中國證監會對公司為中安科股份有限公司(原名上海飛樂股份有限公司、中安消股份有限公司)提供財務顧問服務未勤勉盡責行為進行了立案調查、審理,現已調查、審理終結。
經調查,公司存在違法事實。根據當事人違法行為的事實、性質、情節、社會危害程度及對投資者賠付情況,依據2005年《證券法》第二百二十三條的規定,中國證監會決定:一、責令招商證券改正違法行為,沒收業務收入人民幣3,150萬元,並處以人民幣3,150萬元罰款;二、對陳軒壁、俞新平給予警吿,並分別處以人民幣5萬元罰款。
目前公司的經營情況正常,公司將持續遵循穩健的經營理念,進一步強化投資銀行業務內控機制,提高規範運作意識,切實履行勤勉盡責義務,全面提升投行執業質量。
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