年内超30家券商收投行业务罚单电影未删减版
主演:丹尼斯-弗朗兹
导演:井莉
类型:realtime
地区:中国
年份:2024
时间:2024-10-28 11:10:31
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剧情简介
本报(chinatimes.net.cn)记者邱利 陈锋 北京报道 2023年上半年收官,证券行业严监管态势延续。据公开数据不完全统计,今年上半年,共有68家券商接到167张罚单,其中投行业务沦为“重灾区”,罚单占比超过四分之一,中信证券、海通证券等头部券商均遭“点名”。 多位业内人士指出,全面注册制背景下,监管部门加强对“看门人”中介机构的处罚力度,主要是为了把好入口关,从源头提高A股上市公司质量。 投行业务密集遭罚 今年以来,券商迎来监管风暴,各地监管接连出手,罚单数量激增,旨在促进券商履行“看门人”职责,强化合规风控管理。 据公开数据不完全统计,截至6月30日,年内至少有68家券商收到证监会、各地证监局及沪深两所等监管部门共计下发的167张罚单。其中,有55张涉及经纪业务违规,为上半年最多,有45张涉及研报违规,罚单数量相比去年激增,还有多达43张罚单直指投行业务。 具体来看,投行业务罚单占比超过四分之一,涉及26家券商,包括中信证券、海通证券、光大证券、广发证券等头部券商,此外,还有国都证券、国海证券、民生证券、东兴证券、东海证券、东北证券等中小型券商。 从处罚原因来看,投行业务罚单重点集中在内控和廉洁从业,包括投行人员尽职调查不规范,出具的文件存在虚假记载、误导性陈述,IPO项目“一查就撤”,未能履行持续督导职责等多方面问题。 具体而言,海通证券就因多个IPO项目“一查就撤”遭监管警示,上交所指出,发行上市审核期间,上交所在对3个项目发出现场督导通知书后,实施现场督导前,海通证券均撤销了项目保荐。 国都证券被暂停保荐资格 作为资本市场“看门人”,今年券商的投行业务可谓风生水起,数据显示,上半年,中信证券、中信建投、海通证券,分别以接近21亿元、13亿元和12亿元的IPO保荐承销收入位居前三,华泰联合、民生证券、中金公司等券商IPO收入也均超过7亿元。 不过,投行业务既是券商主要营收来源,也是违规的高发地带,部分券商拿着巨额保荐费用,却没有尽到“看门人”的职责。 目前,金洲慈航、豫金刚石和泽达易盛均因财务造假、信息披露违规等问题收到监管罚单。作为保荐机构的东海证券、东北证券和东兴证券3家券商也面临追责,年内均因投行业务违规被立案调查。 实际上,今年已有券商被暂停保荐资格,投行业绩或将遭遇“灭顶之灾”。从处罚措施来看,一般多为责令改正、监管谈话或出具警示函等,但今年上半年,不乏有券商被暂停投行业务,保荐代表人被认定为不适当人选等“禁业”处罚。例如,北京证监局4月披露的罚单显示,国都证券投行业务存在执行业务未勤勉尽责、合规内控管理薄弱等多个问题,与股票发行相关的保荐、承销业务等被暂停6个月。 注册国际投资分析师(CIIA)付学军向《华夏时报》记者表示,如果一家券商在持续督导上多次“栽跟头”,背后的原因可能包括公司内部管理不善、员工缺乏合规意识、制度不完善等。此外,证券行业竞争激烈、投行业务压力大也可能导致证券公司在合规方面存在疏漏。 守好“看门人”底线 上半年监管密集出手,释放了什么信号?财经评论员张雪峰在接受《华夏时报》记者采访时表示,监管趋严的意义颇大,一方面可以有效地保护投资者权益,比如减少因为虚假研报而引起的投资损失。另一方面也可以更好地维护市场秩序和公平竞争,通过对券商的严格监管,可以让市场各方遵守规则,减少内幕交易、操纵市场等违法行为。 张雪峰指出,监管的罚单可能会对券商业绩或管理产生多重影响。首先,如果罚款金额过大,会减少证券公司的可支配资金,对财务状况造成负面影响。其次,连续多次收到罚单的券商,可能引发客户和投资者的不信任,对公司的声誉和形象造成负面影响。所以,建议收到罚单的券商加强对内部控制和风险管理的改进。 “提升整体证券行业自律需要多方共同努力。”张雪峰表示,监管部门可以制定更加严格的行业规则和标准,或加强对券商的监管力度,加大对违规行为的惩罚力度,维护市场的稳定和公平。同时,券商也应加大自身内部监管力度,建立健全的内部风控制度,加强对从业人员的培训和监督,确保研报的合规性和准确性。另外,投资者也应提高自身的风险意识和辨别能力。 付学军也表示,券商可以通过加强内部管理、提高员工合规意识、完善制度等方式,不断提升其在持续督导等环节的合规性。此外,证券公司应该加强风险控制和合规培训,加强与监管部门的沟通和合作,提高合规意识和风险意识。 责任编辑:麻晓超 主编:夏申茶
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