日前,上交所披露了对中信证券及4名保荐代表人、国投证券及2名保荐代表人予以监管警示的决定。记者注意到,这两家券商及保荐代表人被“点名”的主要原因竟然相同,因首发上市业务受到其他证券交易所纪律处分,不再适用再融资分类审核机制。然而,这两家券商却未及时上报上述情况,导致出具的核查意见与实际情况不符。 记者查询发现,去年下半年,深交所确实对中信证券、国投证券分别采取了监管措施。另外,通过对比本次...
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