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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

[HK]海通证券:关於收到中国证监会重庆监管局行政处罚事先告知书- CFi CN 中财网

[HK]海通证券:关於收到中国证监会重庆监管局行政处罚事先告知书

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海通证券被罚没400万 ST瑞德持续督导意见存虚假记载_中国经济网——国家经济门户

海通证券被罚没400万 ST瑞德持续督导意见存虚假记载_中国经济网——国家经济门户
finance.ce.cn - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from finance.ce.cn Daily Mail and Mail on Sunday newspapers.

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处罚尘埃落定！海通证券涉奥瑞德重组罚没400万，给全行业勤勉尽责敲警钟，为推进注册制营造良好监管环境

处罚尘埃落定！海通证券涉奥瑞德重组罚没400万，给全行业勤勉尽责敲警钟，为推进注册制营造良好监管环境
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.

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