申万宏源证券收警示函 承销ST中泰公司债券违规

Core Viewpoint - The Xinjiang Securities Regulatory Bureau has issued a warning letter to Shenwan Hongyuan Securities Co., Ltd. for inadequate due diligence and non-compliance with regulatory requirements in its role as the lead underwriter for the "23 Xin Hua 01" corporate bond of Xinjiang Zhongtai Chemical Co., Ltd. [1][24] Group 1 - Shenwan Hongyuan Securities failed to properly verify the issuer's non-operating receivables, trade revenue, and the use of previously raised funds [1][24] - The due diligence work papers were found to be non-compliant with the "Guidelines for Due Diligence in Corporate Bond Underwriting" (2020 revision) and other relevant regulations [1][24][18] - The company is required to submit a written rectification report to the Xinjiang Securities Regulatory Bureau within 15 days of receiving the decision [8][23] Group 2 - Shenwan Hongyuan Securities is a wholly-owned subsidiary of Shenwan Hongyuan Group Co., Ltd. [2] - The regulatory decision will be recorded in the securities and futures market integrity file of the company [24][23] - The company is advised to enhance its understanding of securities laws and regulations and improve its professional quality [8][23]