广发、世纪、红塔证券同日收警示函均涉及投行质控问题

格隆汇08-01

3家券商因投行业务质控问题同日收到监管警示函。7月31日晚间，证监会官网集中发布三份行政监管措施决定书，对广发证券、世纪证券和红塔证券分别采取出具警示函的行政监管措施，并要求3家公司加强投行业务内部控制管理，对相关责任人员进行内部问责。具体来看，广发证券涉及质控部门独立性不足、项目收费不规范等问题；世纪证券涉及质控和内核把关不严、薪酬管理不规范等问题；红塔证券涉及质控现场核查不到位、保荐工作报告...

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广发、世纪、红塔证券同日收警示函 均涉及投行质控问题

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广发、世纪、红塔证券同日收警示函均涉及投行质控问题