中州证券(01375.HK):收到河南证监局行政监管措施决定书和事先告知书
格隆汇 8 月 30日丨中州证券(01375.HK)公布,公司资产管理业务存在对投资标的的真实性核查不足,尽职调查缺失;债券交易管控存在漏洞;投资运作违反合同约定的投资策略;未能有效规避利益冲突,河南证监局责令公司对上述问题予以改正并决定对朱建民、王晓刚、张爱民出具警示函的行政监管措施。公司两只投向闽兴药业的集合资管计划尽职调查存在缺失,未能发现应收账款的真实性存在问题,河南证监局拟认定姜东、赵阳为不适当人选,在决定做出之日起1年内不得担任证券公司资产管理业务投资经理等职务或者实际履行上述职务。
公司完全接受河南证监局行政监管措施的决定,将严格按照监管要求全面完成整改及内部合规检查,并按时向河南证监局提交书面报告。
资产管理业务非标融资项目出现风险后,公司高度重视,已全面停止开展此类非标融资业务,并安排专人对存续非标融资项目进行细致排查梳理,推进存续非标融资项目的风险化解工作。公司资产管理业务在加强存续产品管理和风险化解的同时,结合资管新规监管导向要求和行业发展趋势,认真落实资管新规要求,强化基础制度制定修订,以提升主动管理能力为核心,采取差异化和适度规模化的业务策略,尽力避免发生类似风险事件。
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