梧桐树下V·2025-05-17 02:48Core Viewpoint - The Shanghai Stock Exchange has issued regulatory warnings to CITIC Securities and Guotai Junan Securities for failing to comply with the refinancing classification review mechanism due to recent disciplinary actions against them by other exchanges [1][4][8]. Group 1: CITIC Securities - CITIC Securities provided a verification opinion for a refinancing project that was not applicable due to recent disciplinary actions, violating the Shanghai Stock Exchange's rules [4][3]. - The company failed to report its disciplinary actions in a timely manner, leading to discrepancies between the verification opinion and actual circumstances [4][1]. - Regulatory warnings were issued to CITIC Securities and its representatives Li Ning, Wu Peng, Huang Yibin, and Li Wanlu for their direct responsibility in this matter [1][3]. Group 2: Guotai Junan Securities - Guotai Junan Securities also issued a verification opinion for a refinancing project that was not applicable due to similar recent disciplinary actions [8][7]. - The company did not adequately monitor matters that could affect the review process, resulting in a failure to fulfill its sponsorship responsibilities [9][8]. - Regulatory warnings were issued to Guotai Junan Securities and its representatives Zheng Yang and Chen Shi for their direct responsibility in this matter [9][7].