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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 Bureau , Sea Pass , Notice The , Chongqing Regulatory Bureau , Independent Finance Consultant Lee Spring , Independent Finance Consultant , Securities Act , Independent Finance Consultant Lee , Lee Spring , Cable Ling , August State Department General Office , China Features , New 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 Bureau , Sea Pass , Notice The , Chongqing Regulatory Bureau , Independent Finance Consultant Lee Spring , Independent Finance Consultant , Securities Act , Independent Finance Consultant Lee , Lee Spring , Cable Ling , August State Department General Office , China Features , New 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 Cong , Nankai University , Shanghai Office , Institute Dean Field , Market Service , Hubei Regulatory Bureau , Market Finance , Sea Pass , City Sea Pass , General Assembly , Consultant Private , Cable Ling , August State Department General Office , New Securities Act , Zhu Olympus , Nankai University Finance , All Market , Sponsor Professional , நங்கை பல்கலைக்கழகம் , ஷாங்காய் அலுவலகம் , சந்தை சேவை , சந்தை நிதி , கடல் பாஸ் , ஜநரல் சட்டசபை , ஆலோசகர் ப்ரைவேட் , அனைத்தும் சந்தை ,

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 Cong , Nankai University , Shanghai Office , Institute Dean Field , Market Service , Hubei Regulatory Bureau , Finance Channel , China Jiangxi , Sea Pass , City Sea Pass , General Assembly , Consultant Private , Cable Ling , August State Department General Office , New Securities Act , Zhu Olympus , Nankai University Finance , All Market , Sponsor Professional , நங்கை பல்கலைக்கழகம் , ஷாங்காய் அலுவலகம் , சந்தை சேவை , நிதி சேனல் , சீனா ஜியாங்சி , கடல் பாஸ் , ஜநரல் சட்டசபை ,

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.

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