国瓷材料法律服务律所收警示函 北京天达共和被指五场股东大会服务存多项违规

Core Viewpoint - The Shandong Securities Regulatory Bureau has issued an administrative regulatory measure against Beijing Tianda Gonghe Law Firm for multiple violations while providing legal services to Shandong Guoci Functional Materials Co., Ltd during several shareholder meetings [1][2][3] Group 1: Violations Identified - The law firm failed to diligently perform verification duties, resulting in inaccurate legal opinions [2] - Legal opinions were not subjected to internal review processes, indicating serious deficiencies in internal quality control [2] - Management of working papers was not compliant with securities legal business archive management requirements [2] - The firm did not check the integrity records of Guoci Materials as mandated, violating relevant regulations [2] Group 2: Regulatory Actions and Implications - The violations breached multiple provisions of the "Management Measures for Law Firms Engaging in Securities Legal Business" and the "Integrity Supervision and Management Measures for Securities and Futures Markets" [3] - The law firm has been issued a warning letter and its violations will be recorded in the securities and futures market integrity database [3] - The regulatory body has mandated the law firm to submit a written rectification report within 30 days and improve the management of securities legal business [3] - The incident highlights the stringent requirements for the quality of legal services in the securities sector, impacting the compliance of shareholder meetings for listed companies like Guoci Materials [3]