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對外披露招股說明書實(shí)質(zhì)修改后內(nèi)控未再次審批等 中信建投再受處罰

對外披露招股說明書實(shí)質(zhì)修改后內(nèi)控未再次審批等 中信建投再受處罰

鳳凰網(wǎng)財經(jīng)訊 2024年10月18日，中國證監(jiān)會公示了對中信建投證券的監(jiān)管處罰信息。

經(jīng)查，中信建投存在多項(xiàng)業(yè)務(wù)違規(guī)行為。具體來看，中信建投在部分項(xiàng)目中盡職調(diào)查不充分；未有效督促發(fā)行人做好募集資金專戶管理；內(nèi)核未充分關(guān)注項(xiàng)目風(fēng)險；對外披露招股說明書實(shí)質(zhì)修改后內(nèi)控未再次審批等，違反了相關(guān)規(guī)定。劉乃生作為分管投行業(yè)務(wù)高管，對上述問題負(fù)有責(zé)任。

對此，中國證監(jiān)會決定對中信建投、劉乃生采取監(jiān)管談話的行政監(jiān)管措施。并要求中信建投嚴(yán)格按照內(nèi)部問責(zé)制度對責(zé)任人員進(jìn)行內(nèi)部問責(zé)，向北京證監(jiān)局提交書面問責(zé)報告。

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