You are browsing the Hong Kong website, Regulated by Hong Kong SFC (CE number: BJA907). Investment is risky and you must be cautious when entering the market.
中證監向中金(03908.HK)採取監管談話 批其於聯想集團申請科創板上市時無盡責
中國證監會批評券商中金公司(03908.HK),在聯想集團(00992.HK)申請在上海科創板上市的事,沒有勤勉盡責對發行人科創屬性認定履行充分覈查程序,主要依賴發行人提供的說明性文件得出結論性意見,相關程序及獲取證據不足以支持披露內容,未能完整、準確評價發行人科創屬性。 上述行爲違反了《證券發行上市保薦業務管理辦法》(證監會令第170號)第五條的規定。按照《證券發行上市保薦業務管理辦法》第六十五條的規定,中證監會決定對中金採取監管談話的監督管理措施。 聯想集團10月申請在上海科創板上市,但其後撤回。
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