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一券商拟被证监会“没一罚三”,合计6000万!
梧桐树下V·2025-07-08 03:57

Core Viewpoint - Donghai Securities has received an administrative penalty notice from the China Securities Regulatory Commission (CSRC) due to significant omissions and false records in its role as an independent financial advisor for the major asset restructuring of Jinzhou Cihang Group Co., Ltd. in 2015, leading to a proposed fine of 45 million yuan and the confiscation of 15 million yuan in business income [1][4][6]. Group 1: Basic Information - Donghai Securities was involved in a major asset restructuring project as an independent financial advisor for Jinzhou Cihang Group in 2015 [4]. - The CSRC issued a notice of administrative penalty on July 3, 2025, with the effective date being June 27, 2025 [5]. Group 2: Violations and Penalties - The violations include failure to reassign a financial advisor for ongoing supervision, lack of due diligence in verifying reports from other intermediaries, and insufficient scrutiny of the target company's performance commitments [4][6]. - The CSRC's proposed penalties include the confiscation of 15 million yuan in business income and a fine of 45 million yuan [6]. Group 3: Impact on the Company - The incident has not significantly adversely affected the company's operational activities, and the current business situation remains normal [7]. - The financial status of the company is stable, with no major negative impact from the incident [7]. Group 4: Response Measures - The company accepts the findings of the administrative penalty notice and commits to reflection and rectification, aiming to enhance compliance with regulatory requirements and improve internal controls [9]. - The company will fulfill its information disclosure obligations in accordance with legal requirements [9].