Core Viewpoint - Jiangsu Securities Regulatory Bureau has issued a warning letter to Founder Securities Co., Ltd. for failing to fulfill its due diligence obligations as the continuous supervision sponsor for Jiangsu Jingyuan Environmental Protection Co., Ltd.'s convertible bonds in 2022 [1] Group 1: Regulatory Actions - Founder Securities did not identify issues related to the improper use of raised funds for non-project expenses and inaccurate disclosure of fundraising information during its supervisory duties [1] - The actions of Founder Securities violated relevant provisions of the "Administrative Measures for the Sponsorship of Securities Issuance and Listing" [1] - The regulatory authority has decided to issue a warning letter to Founder Securities and the responsible representatives, Yuan Hongfei and Yang Risheng, which will be recorded in the integrity archives of the securities and futures market [1] Group 2: Required Actions - Founder Securities and the involved representatives are required to learn from this incident, improve their professional quality, and prevent similar occurrences in the future [1] - A written rectification report must be submitted to the Jiangsu Securities Regulatory Bureau within 30 working days from the receipt of the decision [1]

Core Viewpoint - Jiangsu Securities Regulatory Bureau issued a warning letter to Founder Securities and its representatives for failing to fulfill their due diligence obligations during the continuous supervision of Jiangsu Jingyuan Environmental Protection Co., Ltd.'s convertible bonds, leading to undiscovered violations regarding the use of raised funds and inaccurate disclosures [1][4]. Group 1: Company Actions - Founder Securities acted as the continuous supervision sponsor for Jiangsu Jingyuan Environmental Protection Co., Ltd. during its 2022 convertible bond issuance [1][4]. - The company failed to identify violations related to the improper use of raised funds for non-project expenses and inaccuracies in fundraising information disclosure [1][4]. Group 2: Regulatory Measures - The regulatory authority decided to issue a warning letter as an administrative regulatory measure against Founder Securities and its representatives, Yuan Hongfei and Yang Risheng [1][4]. - The actions of Founder Securities violated the Securities Issuance and Listing Sponsorship Business Management Measures, specifically Articles 5 and 28 [1][4]. - The warning will be recorded in the securities and futures market integrity archives, and the company is required to submit a written rectification report within 30 working days [1][4].

登录新浪财经APP 搜索【信披】查看更多考评等级 文/梧桐兄弟 12月7日，第一创业证券股份有限公司（第一创业，002797）公告，全资子公司第一创业证券承销保荐有限责任公司（"一创投行"）于2025 年12月5日收 到中国证监会江苏监管局《行政处罚事先告知书》。 一创投行涉嫌在鸿达兴业 2019 年可转债项目持续督导期间未勤勉尽责，包括：未充分核查募集资金投入及归还情况；未按规定发表核查意见，导致出具 的相关持续督导文件存在虚假记载；未按规定履行督促及报告义务。保荐代表人范本源、宋垚，是一创投行上述违法行为直接负责的主管人员。 江苏证监局拟决定：对第一创业证券承销保荐有限责任公司责令改正，给予警告，没收保荐业务收入 4,245,283.02 元，并处以 12,735,849.06 元罚款；对宋 垚、范本源给予警告，并分别处以 150 万元罚款。券商及2保代合计被罚没19981132元。 2025 年 12 月 5 日，一创投行收到中国证监会江苏监管局《行政处罚事先告知书》（苏证监罚字〔2025〕21 号），主要内容如下： 一创投行涉嫌鸿达兴业股份有限公司（以下简称"鸿达兴业"）可转债项目持续督导未勤勉尽责一 ...

本公司及董事会全体成员保证信息披露的内容真实、准确和完整，没有虚假记载、误导性陈述或重大遗 漏。 第一创业证券股份有限公司（以下简称"公司"）全资子公司第一创业证券承销保荐有限责任公司（以下 简称"一创投行"）于2025年10月31日收到中国证券监督管理委员会（以下简称"中国证监会"）《立案告 知书》（证监立案字0102025023号）。因一创投行在鸿达兴业股份有限公司2019年可转债项目中涉嫌持 续督导业务未勤勉尽责，根据《中华人民共和国证券法》《中华人民共和国行政处罚法》等法律法规， 2025年10月29日，中国证监会决定对一创投行立案。 根据当事人违法行为的事实、性质、情节与社会危害程度，结合违法行为跨越新旧《证券法》适用的特 别情形，依据《证券法》第一百八十二条的规定，中国证监会江苏监管局拟决定： 一、对第一创业证券承销保荐有限责任公司责令改正，给予警告，没收保荐业务收入4,245,283.02元， 并处以12,735,849.06元罚款； 二、对宋垚、范本源给予警告，并分别处以150万元罚款。 根据《中华人民共和国行政处罚法》第四十五条、第六十三条、第六十四条和《中国证券监督管理委员 会行政处罚听证 ...