申万宏源收警示函

中新经纬12-24

中新经纬12月24日电申万宏源证券有限公司(下称申万宏源)近日收警示函。证监会新疆监管局网站截图据证监会新疆监管局网站24日消息，经查，申万宏源作为新疆中泰化学股份有限公司“23新化01”公司债券的主承销商，对发行人非经营性往来占款、贸易业务收入、前次募集资金使用情况核查不到位，尽职调查工作底稿不规范，不符合《公司债券承销业务尽职调查指引》(2020年修订)第五条第二款、第十一条、第十三条第二款...

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