近日，厦门证监局对华福证券出具警示函，因其作为主办券商在发行推荐中未勤勉尽责，未能查明厦门 市江平生物基质技术股份有限公司（简称"江平生物"）在定向发行说明书中存在的财务造假情形。 厦门证监局指出，华福证券上述行为违反了《非上市公众公司监督管理办法》，并决定对华福证券采取 出具警示函的监督管理措施。厦门证监局表示，华福证券应充分关注挂牌公司财务内控有效性，健全挂 牌公司持续督导及定向发行推荐业务内控制度，落实勤勉尽责要求，切实提高执业质量水平。 来源：厦门证监局 此前，厦门证监局已对江平生物相关负责人下达了行政监管措施决定书，其中披露有关江平生物财务造 假的具体情况。 | 震引号 | bm56000001/2025-00010790 | 分类 | 行政监管措施行政执法 | | --- | --- | --- | --- | | 发布机构 | | 发文日期 | 2025年09月12日 | | 名称 | 厦门证监局关于对张慧德、祁伟、夏长平、戴燕芳、陈剧、文美、场弦、林明月采取出国警示退盟的决定 | | | | 文 号 | 中国证券监督管理委员会见门监管局行政监管陆线决定书(2025)21号 | 主题词 | | ...

Group 1 - The Hong Kong government is expected to release a new Policy Address on September 17, which may include recommendations to lower or eliminate stock stamp duty in three phases to enhance market depth [1][2] - The Chairman of the Hong Kong Securities and Futures Professionals Association suggests that the Growth Enterprise Market (GEM) lacks vitality due to existing regulations and approval processes, which hinder small and medium-sized enterprises (SMEs) from listing on the Hong Kong Stock Exchange [1][2] - It is proposed that the GEM adopt a tiered listing system similar to the NASDAQ in the U.S., allowing differentiated listing standards based on the size and development stage of companies [1][2] Group 2 - The phased approach to stamp duty reduction includes a pilot phase to lower the duty from 0.1% within 6 to 12 months, followed by further reductions and a potential full elimination within 24 to 36 months [2] - The current regulatory framework is criticized for causing significant stock price volatility due to sudden public disclosures of warnings, which can disadvantage small shareholders [2] - Recommendations include a review of current procedures to provide major shareholders and companies with opportunities to rectify issues, ensuring the protection of minority investors [2] Group 3 - The development of stock options is seen as a way to increase market liquidity, enhance price discovery, and improve overall market efficiency, benefiting other market products [3] - A proposal for a rapid inclusion mechanism for suitable stocks to launch weekly and monthly stock options aims to optimize market structure and enhance international competitiveness [3] - Suggestions for government support for small securities firms to help them grow alongside the Hong Kong financial market, promoting a diverse market environment rather than focusing on a few large firms [3]