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廣發証券(01776.HK)遭中證監行政處罰1,022萬人幣
阿思達克 09-25 09:18
廣發証券(01776.HK)公布,有關中國證監會對集團違法違規行為進行立案調查、於今年9月22日,公司收到中國證監會《行政處罰決定書》([2023]65號)。 中國證監會認為,廣發証券在為美尚生態2018年非公開發行股票提供保薦服務過程中,未遵守業務規則和行業規範,未對美尚生態的發行申請文件進行審慎核查,出具的保薦書等文件存在虛假記載,構成2005年《證券法》第一百九十二條的違法行為。廣發証券未審慎核查美尚生態發行募集文件的真實性和準確性的行為,違反了《證券發行與承銷管理辦法》(證監會令第144號)第二十八條的規定,構成「其他違反證券承銷業務規定的行為」。對於廣發証券上述違法行為,美尚生態項目保薦代表人王鑫、楊磊傑是直接負責的主管人員。 中證監對廣發証券責令改正,給予警告,沒收保薦業務收入94.34萬人民幣(下同),及處以94.34萬元罰款;沒收承銷股票違法所得783.02萬元,並處以50萬元罰款。中證監又對王鑫、楊磊傑給予警告,分別處以25萬元罰款。
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