一个月内6位保代被罚,中信证券怎么了?

国际金融报
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监管层对IPO“带病闯关”行为始终保持严查严罚的态度。  6月6日,深交所对中信证券下发警示函,并对两位保荐代表人予以通报批评,原因是其在保荐某首发项目过程中,督导工作存在三大违规情形。而在不久前的5月14日,中信证券及4位保荐代表人也曾遭到上交所监管警示。  受访人士分析,在合规性审核不断强化的背景下,对券商机构和保荐机构的专业性与合规性要求愈发严格。未来,企业“带病上市”的行为可能会受到更为...

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