财务顾问业务违规 国泰海通等多家券商年内被采取监管措施

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Dec 12

近日,深交所发布监管信息,对国泰海通(601211.SH)采取书面警示的自律监管措施,对独立财务顾问主办人朱凯凯、林子鹏被给予通报批评的处分。监管函显示, 2023年12月8日,深交所受理的节能铁汉(300197.SZ)发行股份购买资产并募集配套资金申请,国泰海通为项目独立财务顾问,朱凯凯、林子鹏为项目主办人。经深交所查明,标的公司大地修复部分项目存在提前确认收入的情况,该问题对标的公司财务数据...

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