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因定向发行推荐工作中未能充分勤勉尽责,华福证券被监管警示
Bei Jing Shang Bao·2025-11-14 12:34

Core Viewpoint - The Xiamen Securities Regulatory Bureau has issued a warning letter to Huafu Securities for failing to fulfill its due diligence responsibilities as the sponsor of Jiangping Biological's directed issuance, leading to the discovery of false records in the issuance documents [3]. Group 1: Regulatory Actions - The Xiamen Securities Regulatory Bureau decided to take supervisory measures against Huafu Securities by issuing a warning letter due to its inadequate diligence during the directed issuance process for Jiangping Biological in 2021 and 2022 [3]. - Huafu Securities did not properly verify the authenticity and accuracy of the information disclosure documents and directed issuance application documents for Jiangping Biological [3]. - The regulatory body will record the relevant situation in Huafu Securities' integrity file according to the "Integrity Supervision and Management Measures for Securities and Futures Markets" [3]. Group 2: Compliance Requirements - Huafu Securities is required to pay close attention to the effectiveness of financial internal controls of listed companies and to improve the internal control systems for continuous supervision and directed issuance recommendation business [3]. - The company must implement due diligence requirements and enhance the quality of its professional services [3].