Core Viewpoint - The article discusses the regulatory actions taken by the Hubei Securities Regulatory Bureau against Beijing Tongshang Law Firm for various compliance failures in providing securities legal services [1][4]. Group 1: Compliance Failures - The law firm has inadequate risk control systems that are not effectively implemented, failing to establish necessary management protocols for securities legal business, insider trading, and information disclosure [5][6]. - The firm did not archive project work papers within 60 days after the completion of business commissions, violating regulatory requirements [7]. - Work papers were not produced in a standardized manner, lacking pagination, signatures from designated lawyers, and proper documentation, which contravenes established rules [8]. Group 2: Legal Opinion and Verification Issues - Legal opinions were prepared in a non-compliant manner, with vague statements like "after verification" without detailing verification principles, methods, and processes, breaching regulatory standards [9]. - The firm repeatedly employed unlicensed assistants and interns for verification tasks and failed to request necessary inquiries into clients' integrity records, violating multiple regulatory provisions [10].
北京通商律所收警示函！
梧桐树下V·2026-01-09 02:39