5券商因保荐业务领罚单,事涉华西、国泰海通、中德、东方、联储证券

澎湃新闻
Mar 23

5家券商罚单集中公布。  3月20日,四川证监局公布了华西证券被采取责令改正行政监管措施的决定,国泰海通证券、中德证券、东方证券、联储证券等4家券商则均被上海证监局采取出具警示函措施。  具体而言,四川证监局表示,经查,发现华西证券在承销和受托管理个别债券项目工作中存在对抵押物信息等重大事项尽职调查不到位、募集资金使用情况核查不充分、相关工作制度不健全等问题。  四川证监局决定对华西证券采取责令...

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