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东海证券因并购旧案吃6000万罚单,多家券商年内因投行业务被罚
Di Yi Cai Jing·2025-07-08 15:16

Group 1 - Multiple securities firms have received penalties related to investment banking, with East China Securities fined 60 million due to a decade-old restructuring project involving Jinzhou Cihang [1][2] - The China Securities Regulatory Commission (CSRC) found that East China Securities failed to exercise due diligence in the 2015 major asset restructuring of Jinzhou Cihang, leading to a confiscation of business income and fines totaling 60 million [1][4] - Jinzhou Cihang, which was delisted two years ago, reported cumulative losses exceeding 15.7 billion from 2015 to 2022, and its former chairman was banned for life from the securities market [1][2][3] Group 2 - The investment banking sector has become a major area for regulatory penalties, with several leading firms, including CITIC Securities and China International Capital Corporation, facing sanctions for violations related to IPOs and mergers [5][7] - In 2023, multiple securities firms and their representatives have been penalized for failing to fulfill their responsibilities in various projects, including the case of Zeda Yisheng, which faced severe financial misconduct [6][7] - East China Securities and other firms have been implicated in violations related to refinancing projects, with significant penalties imposed for failing to ensure accurate disclosures [8]