中证监集中公布29条投行业务违规处罚信息 海通、中金公司、中信证券在列
中国证监会网站公布29条投行业务违规处罚信息,落款日期大多在1月-3月之间,涉及中山证券、中信建投证券(06066.HK)(601066.SH)、海通证券(06837.HK)(600837.SH)、中金公司(03908.HK)(601995.SH)、国金证券(600109.SH)、东方证券(03958.HK)(600958.SH)、中信证券(06030.HK)(600030.SH)和五矿证券等多家证券公司。
相关业务负责人受到监管谈话、警示函监管措施等不同程度的行政处罚。券商违规行为多包括对发行人核查不充分、内部控制有效性不足、未勤勉尽责督促发行人等。(ta/w)
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