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债券项目尽职调查不规范,中泰证券收证监会警示函

Group 1 - The China Securities Regulatory Commission (CSRC) issued a warning letter to Zhongtai Securities Co., Ltd. on February 14 [1] - Zhongtai Securities was found to have four violations, including inadequate due diligence on certain bond projects [1] - The company failed to properly verify financial information affecting the issuer's repayment ability in some bond projects [1] Group 2 - The issuance and underwriting processes were not compliant, with insufficient checks on related party subscriptions [1] - Some bond projects lacked strict management during the book-building process and exhibited unfair competition practices [1] - The company did not effectively supervise the issuer's timely information disclosure obligations in certain bond projects [1] Group 3 - In the interbank bond market, Zhongtai Securities did not enforce strict professional conduct among its staff [1] - There was a lack of diligence and responsibility among employees in managing certain projects [1]