120freespinshouseoffun| Huaxi Securities, suspended from sponsorship business qualification for 6 months

Date: 2个月前 (04-13)View: 54Comments: 0

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On the evening of April 12, Huaxi Securities issued an announcement on the receipt of prior notification of the administrative supervision measures of the Jiangsu Regulatory Bureau of the China Securities Regulatory Commission.

According to the notice, after investigation, Huaxi Securities is suspected of having committed the following irregularities in the practice of the 2019 non-public offering sponsor program of Jin Tongling (Rights Protection) Technology Group Co., Ltd. (hereinafter referred to as "Jin Tongling"): due diligence is suspected of failing to perform due diligence, and there are false records of issuing stock listing recommendations to specific targets.120freespinshouseoffunThe relevant reports issued during the continuous supervision phase are suspected of having false records; the on-site inspection work of continuous supervision is suspected of not being carried out in place. According to the relevant provisions of the measures for the Administration of sponsor Business in Securities issuance and listing, Jiangsu Securities Regulatory Bureau plans to take regulatory measures to suspend the qualification of sponsor business for six months.

In addition, on April 11, Huaxi Securities received the Jiangsu Securities Regulatory Bureau's "advance notice on the regulatory measures taken against Liu Jingfang and Zhang ran as inappropriate candidates" and "the decision on issuing warning letters to Zheng Yi and Chen Qingling". Jiangsu Securities Regulatory Bureau plans to take regulatory measures against Liu Jingfang and Zhang ran, sponsor representatives of Jin Tongling's 2019 non-public stock offering sponsor project, as inappropriate candidates; to continuously supervise Jin Tongling's 2019 non-public stock offering sponsor project, Zheng Yi and Chen Qingling, to take supervision and management measures of issuing warning letters.

Huaxi Securities said that the company will learn lessons, seriously reflect, strengthen management, improve and improve the internal control mechanism of investment banking business, and continue to improve the quality of investment banking business. The company will thoroughly implement the requirements of strict access to issuance and listing, improving the quality of listed companies, and building a first-class investment bank, earnestly fulfill the responsibility of the "gatekeeper" of the capital market, and constantly improve its ability to serve the real economy.

Editor: Guo Chenxi proofread: Zhang Yu Picture Editor: Zhao Yanmi

120freespinshouseoffun| Huaxi Securities, suspended from sponsorship business qualification for 6 months

Review: Zhu Jianhua producer: signed by Zhang Xiaoguang: pan Linqing

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