Core Viewpoint - The article discusses the regulatory measures taken by the Fujian Securities Regulatory Bureau against Guohao Law Firm (Shanghai) for deficiencies in their legal services during the IPO process of Huihan Microelectronics Co., Ltd. [1][4] Group 1: Internal Risk Control Issues - The internal risk control system of Guohao Law Firm was found to be inadequately executed, violating the regulations set forth in the "Management Measures for Law Firms Engaging in Securities Legal Business" [4][6] Group 2: Verification Procedures - The verification procedures were deemed non-compliant, including: - On-site verification records lacked signatures from the individuals or unit heads being investigated, and some records were unsigned by lawyers - Certain online inquiries did not have accompanying records - Inconsistencies in responses were not further investigated - Inadequate checks on significant external guarantees, large other payables, and qualifications of certain directors and senior management [5][6] Group 3: Documentation Standards - The preparation of working papers was found to be non-standard, including: - Missing email receipts from clients and suppliers, and many working papers lacked dates and source indications - Absence of index and page numbers in most working papers, with many lacking signatures from the responsible lawyers and the law firm's official seal [7][6] Group 4: Regulatory Actions - As a result of these findings, the Fujian Securities Regulatory Bureau decided to issue a warning letter to Guohao Law Firm, which will be recorded in the securities and futures market integrity archives. The firm is required to submit a written rectification report within 30 days of receiving the decision [7][8]
国浩律所（上海）收警示函！