券商注意!投行罚单鲜见类型出现

美港电讯
26 May

【券商注意!投行罚单鲜见类型出现】金十数据5月26日讯,日前,中信证券、国投证券被上交所点名。两家券商被罚原因相同。根据某券商保代解读:涉事券商投行在其他交易所被处罚,未及时向上交所汇报,并且已经向上交所提报的小额快速项目未及时撤回。而按照规定,投行被交易所、证监会或地方证监局处罚,12个月内不得申报“小额快速”项目。投行资深保代与券商合规人士表示,被罚原因在此前鲜少出现。

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