保荐职责不到位 中信建投2保代被监管警示

新浪证券
10 Apr

4月8日晚间,上交所发布3份监管措施决定书,已撤回IPO申请的江苏安凯特科技股份有限公司(简称“安凯特”),及中信建投的2名保代人、天衡会计师事务所(特殊普通合伙)(简称“天衡会计所”)的2名签字会计师被予以监管警示。据上交所披露,刘奎波、臧黎明作为中信建投证券指定的项目保荐代表人,在安凯特IPO项目中存在两大失职行为:(一)、对发行人废料销售内控事项尽职调查不充分,未能督促发行人充分整改与披露...

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