申万宏源证券、五矿证券齐收警示函券商严监管信号持续释放

中国网财经12-25 16:25

中国网财经12月25日讯昨日，新疆证监局连续对申万宏源证券、五矿证券采取出具警示函的监督管理措施。新疆证监局称，申万宏源证券作为中泰化学“23新化01”公司债券的主承销商，五矿证券作为中泰化学“23新化K1”公司债券的主承销商，均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，个别财务报表科目分析核查不充分，尽职调查工作底稿不规范。中国网财经记者注意到，除上述两份警示函外...

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申万宏源证券、五矿证券齐收警示函 券商严监管信号持续释放

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申万宏源证券、五矿证券齐收警示函券商严监管信号持续释放