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中證監對平安證券發警示函 對申萬宏源證券採責令改正措施
阿思達克 02-08 16:19
中國證監會發布關於對平安證券股份採取出具警示函措施的決定。經查,發現該公司在債券發行定價過程中,存在違反公平競爭的行為,個別項目債券發行利率與承銷費用掛鉤;個別債券項目盡調不完整,關鍵要素獲取不充分。因此,決定對其採取出具警示函的行政監管措施。 同時,中證監發布關於對申萬宏源証券採取責令改正措施的決定。經查,發現該公司在承銷盡調不規範,部分項目未對可能影響發行人償債能力的事項進行充分關注和核查;受託管理履職盡責不到位,個別項目未對存續期影響發行人償債能力事項進行跟蹤並及時分析影響。因此,決定對其採取責令改正的行政監管措施。
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