中證監對中信証券(06030.HK)採取監管談話措施
中國證監會對中信証券(06030.HK)(600030.SH)及其相關工作人員採取監管談話措施的決定,涉航太通訊收購智慧海派重大資產重組計劃;要求中信証券合規負責人、投銀業務負責人於10月13日下午3時接受中證監監管談話。
公告稱,經查發現中信証券在擔任航天通信收購智慧海派科技重大資產重組財務顧問過程中,存在違規情形包括重組階段未對標的公司的主要供應商、主要客戶和關聯關係等進行審慎核查,重大資產重組實施完畢後,上市公司所購買資產真實實現的利潤未達到預測金額的50%及內部控制制度執行不嚴格。(ta/s)
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