北京证监局对东兴证券出具警示函因“24石门01”“航投01优”等项目发行过程中尽职调查不充分_老虎社区_美港股上老虎

北京证监局对东兴证券出具警示函因“24石门01”“航投01优”等项目发行过程中尽职调查不充分

新浪证券04-03

登录新浪财经APP 搜索【信披】查看更多考评等级　　炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！　　北京证监局发布关于对东兴证券股份有限公司采取出具警示函行政监管措施的决定，经查，公司在开展“24石门01”“航投01优”“航投01次”项目发行过程中，存在尽职调查不充分、未审慎核查发行文件的准确性、受托管理报告和工作底稿存在错误信息、信息披露不到位、合规内控把关不严等...

网页链接

免责声明：本文观点仅代表作者个人观点，不构成本平台的投资建议，本平台不对文章信息准确性、完整性和及时性做出任何保证，亦不对因使用或信赖文章信息引发的任何损失承担责任。

暂无评论

热议股票

7x24

全部

{"i18n":{"language":"zh_CN"},"data":{"share":"https://www.laohu8.com/m/news/2624651376?lang=zh_CN&edition=full","thumbnail":"","is_english":false,"pubTime":"2026-04-03 18:06","share_image_url":"https://static.laohu8.com/b0d1b7e8843deea78cc308b15114de44","id":"2624651376","market":"sg","top_or_hot":-1,"title":"北京证监局对东兴证券出具警示函 因“24石门01”“航投01优”等项目发行过程中尽职调查不充分","media":"新浪证券","content":"<div>\n<p>登录新浪财经APP 搜索【信披】查看更多考评等级\n　　炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 　　北京证监局发布关于对东兴证券股份有限公司采取出具警示函行政监管措施的决定，经查，公司在开展“24石门01”“航投01优”“航投01次”项目发行过程中，存在尽职调查不充分、未审慎核查发行文件的准确性、受托管理报告和工作底稿存在错误信息、信息披露不到位、合规内控把关不严等...</p>\n\n<a href=\"https://finance.sina.com.cn/stock/marketresearch/2026-04-03/doc-inhtfkwz8826018.shtml\">网页链接</a>\n\n</div>\n","source":"sina","html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>北京证监局对东兴证券出具警示函 因“24石门01”“航投01优”等项目发行过程中尽职调查不充分</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 11px; color: #7E829C; margin: 0;line-height: 11px;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\n北京证监局对东兴证券出具警示函 因“24石门01”“航投01优”等项目发行过程中尽职调查不充分\n</h2>\n\n<h4 class=\"meta\">\n\n\n2026-04-03 18:06 北京时间&nbsp;&nbsp;&nbsp;<a href=https://finance.sina.com.cn/stock/marketresearch/2026-04-03/doc-inhtfkwz8826018.shtml><strong>新浪证券</strong></a>\n\n\n</h4>\n\n</header>\n<article>\n<div>\n<p>登录新浪财经APP 搜索【信披】查看更多考评等级\n　　炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 　　北京证监局发布关于对东兴证券股份有限公司采取出具警示函行政监管措施的决定，经查，公司在开展“24石门01”“航投01优”“航投01次”项目发行过程中，存在尽职调查不充分、未审慎核查发行文件的准确性、受托管理报告和工作底稿存在错误信息、信息披露不到位、合规内控把关不严等...</p>\n\n<a href=\"https://finance.sina.com.cn/stock/marketresearch/2026-04-03/doc-inhtfkwz8826018.shtml\">网页链接</a>\n\n</div>\n\n\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"BK0009","symbol_name":"债转股","start_time":0,"source_url":"https://finance.sina.com.cn/stock/marketresearch/2026-04-03/doc-inhtfkwz8826018.shtml","article_id":"2624651376","we_media_id":null,"thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=2624651376","pubTimestamp":1775210760,"columns":[],"sourceInfo":{"source_id":"sina","name":"sina"},"weMediaInfo":null,"summary":"　　北京证监局发布关于对东兴证券股份有限公司采取出具警示函行政监管措施的决定，经查，公司在开展“24石门01”“航投01优”“航投01次”项目发行过程中，存在尽职调查不充分、未审慎核查发行文件的准确性、受托管理报告和工作底稿存在错误信息、信息披露不到位、合规内控把关不严等问题。上述行为违反了相关规定。北京证监局决定对公司采取出具警示函的行政监管措施。","collect":0,"end_time":0,"defaultTopTitle":"sina.com.cn","property":[],"viewcount":null,"language":"zh","relate_stocks":{"601198":"东兴证券","BK0009":"债转股","BK0183":"MSCI概念","BK0276":"资本市场","BK0028":"国家队","BK0012":"证金概念"},"translate_title":"Beijing Securities Regulatory Bureau issued a warning letter to Dongxing Securities due to insufficient due diligence during the issuance of \"24 Shimen 01\" and \"Hangtou 01 Excellent\" projects","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"601198":1.5},"content_text":"登录新浪财经APP 搜索【信披】查看更多考评等级\n　　炒股就看金麒麟分析师研报，权威，专业，及时，全面，助您挖掘潜力主题机会！ 　　北京证监局发布关于对东兴证券股份有限公司采取出具警示函行政监管措施的决定，经查，公司在开展“24石门01”“航投01优”“航投01次”项目发行过程中，存在尽职调查不充分、未审慎核查发行文件的准确性、受托管理报告和工作底稿存在错误信息、信息披露不到位、合规内控把关不严等问题。上述行为违反了相关规定。北京证监局决定对公司采取出具警示函的行政监管措施。公司应引以为戒，认真查找和整改问题，建立健全内部控制制度，切实提升合规管理水平。\n\n新浪声明：此消息系转载自新浪合作媒体，新浪网登载此文出于传递更多信息之目的，并不意味着赞同其观点或证实其描述。文章内容仅供参考，不构成投资建议。投资者据此操作，风险自担。\n\n\n海量资讯、精准解读，尽在新浪财经APP\n\n责任编辑：常福强","kind":"news","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":null,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":0,"need_auth":false,"need_login_tip":false,"code":"91000000","status":"200"},"commentList":[],"hasMoreComments":false,"newsSizeData":{"likeSize":0,"commentSize":0,"repostSize":0,"favoriteSize":0,"likeStatus":false,"favoriteStatus":false},"isCrawlerRequest":true}