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海润天睿律师所收警示函 涉中简科技IPO项目中3宗违规
Zhong Guo Jing Ji Wang· 2025-08-21 07:14
Core Viewpoint - The Jiangsu Securities Regulatory Bureau issued a warning letter to Beijing Hairun Tianrui Law Firm for non-compliance during the legal service provided for the IPO of Zhongjian Technology Co., Ltd. [1][2] Group 1: Compliance Issues - The law firm failed to follow proper verification procedures, including not addressing the reliability of information and lacking signatures from responsible lawyers on key documents [1][2] - Work papers were inadequately prepared, with missing signatures from relevant individuals and lack of proper documentation [1][2] - The legal opinion letter issued was incomplete, lacking necessary factual materials and essential content [1][2] Group 2: Regulatory Framework - The actions of the law firm violated multiple provisions of the "Management Measures for Law Firms Engaging in Securities Legal Business" [2][5] - The law firm is required to establish a risk control committee or similar internal structure to manage risks associated with securities legal services [4][5] - The law firm must submit a written rectification report within one month of receiving the warning letter [9]