中信証券(06030.HK)收監管函 項目保薦過程違規兩保薦代表人遭處分
深交所公布對中信証券(06030.HK)(600030.SH)的監管函,指出於2021年6月30日,深交所受理其推薦的陝西嘉禾生物科技股份有限公司首次公開發行股票並在創業板上市的申請。經查明,在擔任項目保薦人過程中,存在對發行人境外存貨核查程序執行不到位、未充分關注發行人境外銷售交易存在異常及內部控制存在薄弱環節、發表的核查意見不準確等違規行為。根據相關規定,深交所決定對中信証券採取書面警示的自律監管措施,並對保薦代表人韓崑崙、段曄給予通報批評的處分。
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