mortalkombatcountercade|因在保荐项目上市后持续督导违规,国信证券收警示函
editor 2024-05-07 13:22:27 Nature 27
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Due to continuous supervision violations after the listing of the sponsor project, Guangdong Securities Regulatory Bureau directed Guoxin Securities Co., Ltd. (referred to as "Guoxin Securities", 002736Mortalkombatcountercade.SZ) issue a warning letter.
On May 6, Guangdong Securities Regulatory Bureau issued the decision on taking measures to issue a warning letter to Guoxin Securities Co., Ltd. After investigation, Guoxin Securities as Guangdong Opte Technology Co., Ltd. (referred to as "Opter", 688686MortalkombatcountercadeThe Guangdong Securities Regulatory Bureau decided to take administrative regulatory measures to issue warning letters to the company due to a number of violations in the process of continuous supervision of the IPO sponsor.
Specifically, the violation of Guoxin Securities mainly includes two aspects: first, it did not timely urge Opt to implement the review and disclosure procedures for the change of the investment plan. During the continuous supervision period, Guoxin Securities failed to fulfill its duties diligently, failed to find out in time that Opt had exceeded the fund-raising plan to pay employees, and failed to urge Opt to carry out the review and disclosure procedures as required. Second, it has not corrected the problem that Opt uses other fund-raising accounts to pay salaries. Guoxin Securities failed to keep an eye on the storage and use of the funds raised by Opt, failed to detect the problem that Opt used the funds raised by the marketing center to pay employees for other projects, and did not ask Opt to rectify the problem in time after finding the problem.
Guangdong Securities Regulatory Bureau said that the above situation of Guoxin Securities violatedMortalkombatcountercadeThe provisions of articles 5 and 28 of the measures for the Administration of Securities issuance and listing sponsor Business (revised in 2020) (order No. 170 of the Securities Regulatory Commission, the same below). According to the provisions of Article 65 of the measures for the Administration of Securities issuance and listing sponsor Business, the Guangdong Securities Regulatory Bureau decided to take the administrative supervision measure of issuing warning letters to Guoxin Securities.
"your company should conscientiously learn lessons, earnestly improve the management system and internal control measures, and comprehensively inspect the establishment of the company's sponsor business system, the implementation of the continuous training system for sponsor representatives and the implementation of standardization and rectification of related issues. Regularly conduct a comprehensive evaluation of the effectiveness of the internal control of the sponsor business, and urge the sponsor representative, project sponsor and other sponsor business related personnel to do their duty diligently. Strictly control risks and improve the quality of practice. " Guangdong Securities Regulatory Bureau said.
The Guangdong Securities Regulatory Bureau also requires Guoxin Securities to conduct internal accountability for the relevant responsible personnel, submit a rectification report and internal accountability to the Guangdong Securities Regulatory Bureau within 30 days of receiving this decision, and make a copy of it to the Shanghai Stock Exchange.
Last month, Guoxin Securities also received a ticket from Shenzhen Securities Regulatory Bureau for a number of business problems.
On April 19, Shenzhen Securities Regulatory Bureau issued two tickets to Guoxin Securities. Due to problems in stock pledge repurchase business, inadequate management of rescue products, inadequate management of private equity subsidiaries and many other problems, Shenzhen Securities Regulatory Bureau decided to take administrative supervision measures to issue warning letters to Guoxin Securities; du Haijiang, as an executive in charge of stock pledge repurchase business of Guoxin Securities at that time, was responsible for the violations of the business and was also taken administrative supervision measures with warning letters.
On April 16, Guoxin Securities released its annual report for 2023, saying that in 2023, Guoxin Securities achieved operating income of 17.317 billion yuan, up 9.08% from the same period last year, and net profit belonging to shareholders of listed companies was 6.427 billion yuan, up 5.57% from the same period last year.
As of the morning close on May 7, Guoxin Securities closed down 1.33% at 8.92 yuan.