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调查结果来了！持续督导未勤勉尽责 海通证券被罚没400万 _ 东方财富网

【调查结果来了！持续督导未勤勉尽责 海通证券被罚没400万】重庆证监局在处罚事先告知书中披露，海通证券作为奥瑞德重大资产重组并募集配套资金项目独立财务顾问，在执行奥瑞德2017年度持续督导过程中，未对奥瑞德违规对外担保事项保持充分关注，仅执行了询问及检查“三会”记录、用印记录等程序，未获取当期奥瑞德企业信用报告并保存于奥瑞德持续督导工作底稿中，未对当期奥瑞德企业信用报告进行必要的审阅和查看，导致未能发现奥瑞德违规对外提供担保事项，未能发现奥瑞德相关信息披露存在遗漏。（券商中国）

Regulatory bureauSea passNotice theChongqing regulatory bureauIndependent finance consultant lee springIndependent finance consultantSecurities actIndependent finance consultant leeLee springCable lingAugust state department general officeChina featuresNew securities act

调查结果来了！持续督导未勤勉尽责 海通证券被罚没400万_海通证券(600837)股吧_东方财富网股吧

调查结果来了！持续督导未勤勉尽责 海通证券被罚没400万_海通证券(600837)股吧_东方财富网股吧
eastmoney.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from eastmoney.com Daily Mail and Mail on Sunday newspapers.

Regulatory bureauSea passNotice theChongqing regulatory bureauIndependent finance consultant lee springIndependent finance consultantSecurities actIndependent finance consultant leeLee springCable lingAugust state department general officeChina featuresNew securities act

监管强化 看门人 职责 多家中介机构吃罚单_市场动态_资本市场_财经网 - CAIJING COM CN

监管强化 看门人 职责 多家中介机构吃罚单_市场动态_资本市场_财经网 - CAIJING COM CN
caijing.com.cn - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from caijing.com.cn Daily Mail and Mail on Sunday newspapers.

Jiajun peng congNankai universityShanghai officeInstitute dean fieldMarket serviceHubei regulatory bureauMarket financeSea passCity sea passGeneral assemblyConsultant privateCable lingAugust state department general officeNew securities actZhu olympusNankai university finance

监管强化 看门人 职责 多家中介机构吃罚单-财经频道-大江网（中国江西网）

监管强化 看门人 职责 多家中介机构吃罚单-财经频道-大江网（中国江西网）
jxnews.com.cn - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jxnews.com.cn Daily Mail and Mail on Sunday newspapers.

Jiajun peng congNankai universityShanghai officeInstitute dean fieldMarket serviceHubei regulatory bureauFinance channelChina jiangxiSea passCity sea passGeneral assemblyConsultant privateCable lingAugust state department general officeNew securities actZhu olympus

又吃罚单！因对这家上市公司出具存在虚假记载审计报告，瑞华所被罚没480万元

又吃罚单！因对这家上市公司出具存在虚假记载审计报告，瑞华所被罚没480万元
jrj.com.cn - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jrj.com.cn Daily Mail and Mail on Sunday newspapers.

Jianmin marinaSwitzerland chinaCable lingYin jianmin marinaSecurities actSwitzerland yin jianmin marinaKant new
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