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东方证券承销保荐存在部分项目质控现场核查、内核把关不到位等问题 证监会责令其改正

Orient Securities' underwriting sponsorship involves issues such as inadequate on-site inspection and insufficient internal control. The China Securities Regulatory Commission has ordered them to make corrections.

Breakings ·  Oct 18 18:02

The China Securities Regulatory Commission issued a decision on taking corrective measures against Orient Securities' underwriting sponsorship limited company. It was found that the company had issues with some project quality control and confusion between internal auditors, inadequate on-site project quality control checks and internal audit reviews, and hiring third parties for information disclosure in a non-standard manner. The above situations violated relevant regulations. The China Securities Regulatory Commission decided to take administrative supervision and management measures compelling the company to correct the issues. The company should take this as a warning, thoroughly investigate and rectify the problems, establish and strictly implement internal control systems, work processes, and operating standards for investment banking business, act honestly and diligently, and effectively improve the quality of investment banking business. The company should hold responsible individuals accountable according to the internal accountability system and submit a written accountability report to the Shanghai Securities Regulatory Bureau.

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