东兴证券2保代被监管谈话 曾为泽达易盛IPO保荐代表人

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has taken regulatory measures against two representatives, Hu Xiaoli and Tao Chenliang, for failing to diligently verify financial information and disclosures related to the companies they sponsored, violating the Securities Issuance and Listing Sponsorship Business Management Measures [1][4]. Group 1: Regulatory Actions - Hu Xiaoli and Tao Chenliang, as sponsoring representatives, did not fulfill their responsibilities in the sponsorship process, failing to conduct careful checks on financial information, related transactions, and shareholding arrangements [1][4]. - The Beijing Regulatory Bureau decided to impose regulatory talks as administrative measures against both individuals based on the violations of the relevant regulations [1][5]. Group 2: Company Background - Zeda Yisheng was listed on the Shanghai Stock Exchange's Sci-Tech Innovation Board on June 23, 2020, with an initial offering price of 19.49 yuan per share and a total fundraising amount of 405 million yuan, netting 340 million yuan after deducting issuance costs [2]. - The funds raised were intended for various projects, including upgrades to a new generation pharmaceutical intelligent factory platform and a marketing network construction project [2]. Group 3: Compliance and Regulations - The Securities Issuance and Listing Sponsorship Business Management Measures stipulate that sponsoring institutions must appoint representatives with good character and professional capabilities to oversee sponsorship work [3]. - The CSRC has the authority to conduct regular or irregular inspections of sponsoring institutions and related personnel, requiring them to cooperate and provide relevant materials truthfully [3].