券商年内收39张投行罚单 “尽调不规范”成高频问题

经济参考报
7 hours ago

8月22日,北京证监局与深交所同日披露多张罚单,国新证券、西部证券两家券商及4名签字保荐代表人被处罚,其中两名保荐代表人被认定为“不适当人选”,面临为期12个月的行业禁入。  据易董数据统计,今年以来,监管层已累计出具39张投行罚单,涉及23家券商,共计50条处罚对象记录。其中,国都证券5张罚单居首,券商在投行业务执业中尽职调查不规范的问题,是监管处罚的重点。  两家券商同日被罚  8月22日,...

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