Insider Sino Thai securities IPO and refinancing projects are not affected by the survey-wetnwild

Informed sources: IPO, Thailand securities refinancing project from investigating the influence of source: WeChat public number China securities "(original title: Naka Taicheng fourth year investigation by the broker, the origin of the new board, the IPO project was not affected by Thailand securities) investigation, 20 companies implicated IPO? Sino Thai securities in the past two days have been plagued by this false rumor. How about the truth? China Securities reporter learned from informed sources, China Securities recently filed by the Commission for investigation, because the alleged violation of the securities and futures related laws and regulations in the new three board market. But the new three board market is not sponsor system, does not apply to sponsor business management measures. Therefore, IPO and refinancing projects are not affected. China Securities Regulatory Commission recently announced that the fourth securities companies in September 1st this year, China Securities Regulatory Commission issued a notice of investigation issued by the Commission on suspicion of violation of securities and futures related laws and regulations, China Securities Regulatory Commission decided to investigate the company on file. Zhongtai securities has become the fourth registered securities broker after Societe Generale Securities, Southwest Securities and Sino German securities since this year. Previously, Societe Generale Securities, Southwest Securities and Sino German securities were filed investigation, the sponsor of the IPO and refinancing projects have been suspended audit. Many media speculated that the securities of China and Thailand were investigated by the SFC, the sponsor of the IPO and refinancing projects will be suspended audit. However, Societe Generale Securities, Southwest Securities and securities project was suspended audit, the cause is in violation of the sponsor of the project "the issuance of securities listed on the sponsor business management measures" provisions of article seventieth of the sponsor, the sponsor representative because of alleged illegal business sponsor in the investigation period, Chinese Commission will not be accepted by the sponsor recommended; they will not accept the relevant sponsor representative responsible for the recommendation. Obviously, the securities and Securities Commission was investigated by the Commission for the reasons for the "three new board" market, and the new three board listing and market making are not directly related to the sponsor business, therefore, does not apply to the securities issuance and listing sponsor business management measures. A number of people familiar with the situation confirmed the judgment. Informed sources said that the Sino Thai securities investigation is indeed because the new three board market making business, the current sponsor of the IPO project and refinancing project is normal. Registration investigation and investment banking projects have been suspended can not be equated, it is worth mentioning that, at present, the community has been in the subconscious will be "SFC investigation" and "sponsor project termination audit" linked, which has seriously affected the normal investment banking business. For example, the relevant departments of China and Thailand securities recently received a large number of media and investment bank project inquiries, causing unrest. In fact, with the securities company’s business diversification, innovation project is complicated, the investigation by the SFC is not an individual phenomenon, but only the sponsor of the project is to initiate an investigation, it is only a securities company is a criminal investigation, the sponsor of the project of the affected joint. The industry therefore called for the relevant departments in the securities companies issued a notice of investigation, should specify whether the sponsor business, in order to stabilize the relevant IPO projects and refinancing projects. Of course, the securities companies on investigation should also respond positively to social concerns. For example, in November 27th last year, a large securities company in Beijing

知情人士:中泰证券IPO、再融资项目不受调查影响 文章来源:微信公众号“券商中国”(原标题:中泰成今年第4家遭立案调查券商,缘起新三板, IPO项目未受影响)中泰证券被立案调查,20家公司IPO受牵连?近两日的中泰证券饱受这一不实传言困扰。实情如何呢?券商中国记者从知情人士处获悉,中泰证券近日被证监会立案调查,原因是涉嫌在新三板做市中违反了证券期货相关法律法规。但新三板做市并非保荐制,不适用保荐业务管理办法。因此,IPO、再融资项目未受影响。成今年第四家被立案调查券商中泰证券近日公告称,该公司在今年9月1日收到证监会出具的调查通知书,因涉嫌违反证券期货相关法律法规,中国证监会决定对公司进行立案调查。中泰证券成为今年以来继兴业证券、西南证券、中德证券后第四家被立案调查的券商。此前,兴业证券、西南证券和中德证券被立案调查后,其保荐的IPO和再融资项目纷纷被中止审核。不少媒体猜测,中泰证券此次被证监会立案调查后,其保荐的IPO和再融资项目也会被中止审核。不过,兴业证券、西南证券和中德证券项目被中止审核,起因均是保荐项目违反了《证券发行上市保荐业务管理办法》第70条的规定——保荐机构、保荐代表人因保荐业务涉嫌违法违规处于立案调查期间的,中国证监会暂不受理该保荐机构的推荐;暂不受理相关保荐代表人具体负责的推荐。很显然,中泰证券此次遭证监会立案调查的原因是“新三板做市”,而新三板挂牌和做市均和保荐业务无直接关系,因此也不适用《证券发行上市保荐业务管理办法》。多位知情人士证实了这一判断。知情人士称,中泰证券被调查确实是因为新三板做市业务,目前其所保荐的IPO项目和再融资项目一切正常。立案调查和投行项目被中止不能划等号值得一提的是,目前社会各界已在潜意识里将“遭证监会立案调查”和“保荐项目终止审核”挂钩,这已严重影响到投行业务的正常进行。比如,中泰证券相关部门近日接到大量媒体和投行项目方询问,引发各方不安。实际上,随着证券公司业务多元化,创新项目复杂多变,被证监会立案调查已不是个别现象,但只有保荐项目被立案调查,才是唯一一个证券公司被立案调查,其保荐项目连带受影响的情况。业界因此呼吁,相关部门在给证券公司下发的立案调查通知书中,应该列明是否涉及保荐业务,以稳定相关的IPO项目和再融资项目方。当然,被立案调查的证券公司也应该积极回应社会关注。比如,去年11月27日,北京某大型证券公司收到中国证监会调查通知书,因公司涉嫌违反《证券公司监督管理条例》相关规定,中国证监会决定对公司进行立案调查。3日后,该公司积极发布公告:经核实,本次调查的范围是本公司在融资融券业务开展过程中,存在违反《证券公司监督管理条例》第八十四条“未按照规定与客户签订业务合同”规定之嫌。可见,被立案调查和投行项目被中止并不能划等号,而且及时回应十分必要。股市早报,投资前瞻,涨停预测,牛股捕捉,尽在微信号【凤凰证券】或者【ifengstock】盘后剖析A股走势,指点明日走势,请关注微信号【复盘大师】或【fupan588】相关的主题文章: