东莞证券前员工“飞单”被罚 曾卷入腐败案 上市存变数

According to the Beijing News, it is determined that Zhao Yuhong is an inappropriate candidate. He shall not serve as a director, supervisor, senior management or head of a branch of a securities company within two years from the date of this decision or actually perform the above duties.

The relevant branch has received a letter of supervision

In the regulatory decision letter, the Guangdong Regulatory Authority said that after investigation, Zhao Yuhong served as the head of Dongguan Humen Branch, and organized the employee to sell the non-Dongguan Securities Agency's private equity investment fund to the client without the approval of Dongguan Securities.

On the previous April 19, Dongguan Securities Humen Branch was also punished for the same matter.

According to the supervision letter of the Guangdong Securities Regulatory Bureau on April 19, the former person in charge of Dongguan Humen Branch, Zhao Mou, organized an employee to sell non-Dongguan Securities-sold private equity investment funds to customers without the approval of Dongguan Securities. In accordance with relevant regulations, the Guangdong Securities Regulatory Bureau decided to adopt an administrative supervision measure to issue a warning letter to Dongguan Humen Branch.

According to public information, the former legal representative of Dongguan Humen Branch was Zhao Yuhong. On December 29, 2018, its legal representative was changed from Zhao Yuhong to Ji Longhong.

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In order to put an end to the illegal sale of "flying orders", the regulatory authorities have long stipulated.

According to《证券公司代销金融产品管理规定》issued by the CSRC in 2012, “Securities companies should implement centralized and unified management of consignment financial products business, and clarify the duties of internal departments and branches in the sales of financial products. It is prohibited to arbitrarily sell financial products to branches of securities companies. Product."

According to the official website of the China Securities Regulatory Commission, the local CSRC has also jointly carried out special rectification actions against illegal private placement activities with the fund industry association.

The future of Dongguan Securities IPO is uncertain

xx早在2008年,东莞证券就曾报道计划上市。 2015年6月,东莞证券向中国证监会提交了首次公开发行申请,并被接受在深圳证券交易所上市。 2017年5月3日,东莞证券尚未收到上市通行证,但由于涉嫌贿赂原法定代表人和股东金龙董事长,IPO程序暂停。

据公开资料显示,2017年2月24日,南宁铁路运输中级法院的一审公开审判显示,金龙前董事长兼法定代表人杨志茂曾向前副行长刘志庚行贿。广东省。

据“新京报”报道,此次贿赂的目的源于金龙收购东莞证券。在收购东莞证券的过程中,杨志茂得到了清远和东莞相关联系人的关心和支持,并以“白菜价”获得了东莞证券的股份,并获得了巨额投资收益。

由于此次收购,东莞证券的首次公开募股也陷入困境。

2017年5月,金龙宣布东莞证券已向中国证监会提交《关于中止审查首次公开发行股票并上市申请文件的申请》,因为该公司涉嫌贿赂可能对东莞证券首次公开发行股票上市有影响,并获得中国证监会的同意。

自2008年上市以来,东莞证券的上市尚未完成。然而,金龙股份在其2018年年报中披露,它将在2019年积极推动东莞证券的首次公开募股。然而,东莞证券2018年的两位数净利润增加了其上市的不确定性。

根据金龙2018年财务报告,截至2018年底,东莞证券实现营业收入15.3亿元,同比下降27.12%,净利润1.9亿元,同比下降74.97%。

金龙股份解释说,由于霹雳债券,东莞证券就“16申新01”债券,“16凯迪01”债券和信贷业务融资计提资产减值准备,资产减值损失达到4.06亿元。严重拖累净利润。

值得注意的是,目前持有东莞证券40%股权的金龙股份均处于担保状态。

新京报记者张思远编辑赵泽校对卢伟