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因部分項目質(zhì)控底稿驗收把關不嚴等問題 東北證券被要求內(nèi)部整改

因部分項目質(zhì)控底稿驗收把關不嚴等問題 東北證券被要求內(nèi)部整改

10月18日，中國證監(jiān)會公示了關于對東北證券采取責令整改措施的決定。

經(jīng)查，東北證券股份有限公司存在質(zhì)控、內(nèi)核意見跟蹤落實不到位、部分項目質(zhì)控底稿驗收把關不嚴、未建立完善對外報送文件核查把關機制、個別項目持續(xù)督導未勤勉盡責等問題，違反了相關合規(guī)管理辦法。

按照相關規(guī)定，中國證監(jiān)會責令東北證券進行改正，認真查找和整改問題，建立健全和嚴格執(zhí)行投行業(yè)務內(nèi)控制度、工作流程和操作規(guī)范。要求公司嚴格按照內(nèi)部問責制度對責任人員進行內(nèi)部問責，并向吉林證監(jiān)局提交書面問責報告。

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