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因盡調(diào)底稿把關(guān)不嚴(yán)等問題 光大證券收到處罰警示

因盡調(diào)底稿把關(guān)不嚴(yán)等問題 光大證券收到處罰警示

10月18日，中國(guó)證監(jiān)會(huì)公示了關(guān)于對(duì)光大證券出具警示函的監(jiān)管決定。

經(jīng)查，光大證券股份有限公司部分項(xiàng)目質(zhì)控對(duì)項(xiàng)目風(fēng)險(xiǎn)、盡調(diào)底稿把關(guān)不嚴(yán)，公司內(nèi)核意見跟蹤落實(shí)不到位，部分項(xiàng)目發(fā)行保薦工作報(bào)告未完整披露內(nèi)控關(guān)注問題。

上述情況違反了相關(guān)規(guī)定，對(duì)此，中國(guó)證監(jiān)會(huì)決定對(duì)光大證券采取出具警示函的行政監(jiān)督管理措施，并要求對(duì)相關(guān)責(zé)任人員進(jìn)行內(nèi)部問責(zé)。

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