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東吳證券(601555.SH):收到證監會行政處罰決定書
格隆匯 01-08 17:33

格隆匯1月8日丨東吳證券(601555.SH)公佈,公司收到中國證監會《行政處罰決定書》,中國證監會認為,東吳證券在為國美通訊2020年非公開發行股票提供保薦承銷服務過程中未勤勉盡責,未審慎核查發行募集文件的真實性、準確性,出具的《發行保薦書》《非公開發行股票發行過程與認購對象合規性的報吿》等文件存在虛假記載,上述行為違反《證券法》第十條第二款、第二十九條的規定,構成《證券法》第一百八十二條、第一百八十四條的情形。對於東吳證券上述違法行為,張琦、王新為直接負責的主管人員。

中國證監會認為,東吳證券在為紫鑫藥業2014年非公開發行股票提供保薦(含持續督導)服務過程中未勤勉盡責,出具的《發行保薦書》等文件存在虛假記載,上述行為違反2005年《證券法》第十一條第二款的規定,構成2005年《證券法》第一百九十二條的情形。對於東吳證券上述違法行為,蔣序全、李佳佳為直接負責的主管人員。

中國證監會決定:1.對東吳證券股份有限公司責令改正,給予警吿,針對國美通訊項目,沒收保薦業務收入943,396.23元,並處以100萬元罰款,沒收承銷業務違法所得4,716,981.13元,並處以50萬元罰款;針對紫鑫藥業項目,沒收保薦業務收入2,068,000元,並處以4,136,000元罰款;2.對張琦給予警吿,並對保薦執業行為和承銷執業行為分別處以50萬元、20萬元罰款;3.對王新給予警吿,並對保薦執業行為和承銷執業行為分別處以50萬元、20萬元罰款;4.對蔣序全給予警吿,並處以20萬元罰款;5.對李佳佳給予警吿,並處以10萬元罰款。

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