国元证券收警示函 独立财务顾问报告存在不实记载

Core Viewpoint - The China Securities Regulatory Commission (CSRC) has issued a warning letter to Guoyuan Securities Co., Ltd., and its personnel Yang Shaojie and Liu Minhao for failing to exercise sufficient professional diligence in their advisory role for Anhui Fuhuang Steel Structure Co., Ltd.'s asset acquisition project, leading to inaccuracies in the independent financial advisory report [1][5]. Group 1: Regulatory Violations - Guoyuan Securities did not adequately verify the revenue recognition issues of the target company, Hefei Zhongke Junda Vision Technology Co., Ltd., resulting in a report with false records [1][5]. - The actions of Guoyuan Securities and its personnel violated multiple regulations, including Article 3 and Article 21 of the "Management Measures for Financial Advisory Services for Mergers and Acquisitions of Listed Companies" and Article 6 of the "Management Measures for Major Asset Restructuring of Listed Companies" [1][5]. Group 2: Administrative Measures - The Anhui Securities Regulatory Bureau decided to issue a warning letter as an administrative regulatory measure, which will be recorded in the integrity archives of the securities and futures market [1][5]. - The involved parties are required to enhance their understanding of relevant laws and regulations and strengthen their compliance awareness [1][5].