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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) ....

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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
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