因执业过程中存在违规行为,国泰海通证券及两名保代被深交所纪律处分

北京商报
May 23, 2025

北京商报讯(记者李海媛)5月23日,深交所发布关于对国泰海通证券股份有限公司(以下简称“国泰海通”)及相关当事人给予纪律处分的决定。深交所指出,2023年5月8日,受理了中鼎恒盛气体设备(芜湖)股份有限公司(以下简称“发行人”)首次公开发行股票并在创业板上市的申请。项目保荐人原为国泰君安证券股份有限公司(以下简称“国泰君安”),因国泰君安吸收合并海通证券股份有限公司,更名为国泰海通,贾超、陈金科为...

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