财通证券、太平洋证券等三券商集中收罚单，事涉债券类业务违规

新京报02-14

新京报贝壳财经讯（记者胡萌）2月13日，证监会公告对财通证券、中天国富证券和太平洋证券出具警示函，三家券商均存在债券类业务违规行为，包括债券内控把关不严；承销尽调不规范；受托管理履职尽责不到位等。其中，太平洋证券存在以下违规行为：一是债券内控把关不严，个别项目对质控内核提出的意见回复不到位，内核未实行闭环管理；二是个别公司（企业）债券项目受托管理履职尽责不到位，未对存续期影响发行人偿债能力的事项...

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