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重大合同未查验、常规声明遗漏 中伦律师事务所内控“瘸腿”再遭罚
Xin Hua Wang· 2025-10-14 02:53
Core Points - Zhong Lun Law Firm received a warning letter from the Ningxia Securities Regulatory Bureau due to issues in providing legal services for the initial public offering of Yinchuan Weili Transmission Technology Co., Ltd, including non-standard verification procedures and irregularities in the legal opinion letter [1][4][7] Group 1: Legal Issues - The warning letter highlighted that Zhong Lun failed to adequately verify the legality and validity of significant contracts and omitted standard declaration content in the legal opinion letter [4][6] - Specific deficiencies included missing original inquiry letters, incomplete responses, and lack of further verification measures for discrepancies found in inquiry letters [6][7] Group 2: Previous Incidents - In 2022, Zhong Lun faced public scrutiny for a significant error in a legal opinion letter where "temporary shareholders' meeting" was mistakenly written as "dead shareholders' meeting," raising concerns about the firm's execution quality and internal control [3][8] - The firm was previously penalized by the Shenzhen Securities Regulatory Bureau for similar issues, including serious textual errors in legal documents and incomplete witnessing of shareholder meetings [9] Group 3: Regulatory Response - The Ningxia Securities Regulatory Bureau mandated Zhong Lun to address the identified issues, improve internal control management, and submit a written rectification report within 30 days [7] - The firm is required to enhance the quality of its securities legal services following the regulatory measures imposed [7]