CICC and Haitong Securities Receiving Supervision Alert Letter!Involved Bonds incident
Author:Dahe Cai Cube Time:2022.08.11
[Dahecai Cube News] On August 11, the Liaoning Securities Regulatory Bureau adopted a warning letter supervision measure on China International Financial Co., Ltd. and Haitong Securities Co., Ltd..
After investigation, CICC, as the lead underwriter of the 2019 corporate bonds and the main underwriter of the 2019 corporate bonds and the main underwriter of the first phase of the 2019 bond (bonds referred to as 19 Huaji 01). The due diligence investigation is inadequate and other diligence and diligence obligations.
The above behavior violates the provisions of Article 7 of the "Measures for the Issuance and Transaction Management of Company Bonds" (CSRC Order No. 113). According to Article 58 of the "Administrative Measures for the Issuance and Transaction of Company Bonds", the Liaoning Securities Regulatory Bureau decided to take administrative supervision measures with a warning letter to CICC.
As the person in charge of the project, Zhang Ye is responsible for the above -mentioned violations. According to Article 58 of the "Administrative Measures for the Issuance and Transaction of Company Bonds", the Liaoning Securities Regulatory Bureau decided to take administrative supervision measures with a warning letter from Zhang Ye.
After investigation, Haitong Securities applied for the joint owner underwriter of the 2019 corporate bonds and publicly issued the main underwriters of the 2020 corporate bonds (bonds 20 Huaji 01) in 2019. Doloving diligence investigations are not fully committed to fail to perform their diligence and diligence obligations. The Liaoning Securities Regulatory Bureau decided to take administrative supervision measures with alert letter in Haitong Securities.
At the same time, as the person in charge of Haitong Securities's above -mentioned bond project, Yang Ruobing was responsible for the above -mentioned violations. The Liaoning Securities Regulatory Bureau decided to take administrative supervision measures with alert letter to Yang Ruobing
Responsible editor: Shi Jian | Audit: Li Zhen | Director: Wan Junwei
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