UBS因保薦人缺失被證監會罰款3.75億元及暫時吊銷牌照一年 2019年3月14日
Over the IPOs of China Forestry in 2009 (now delisted), Tianhe Chemicals (1619) in 2014 and a third as-yet unnamed listing application. 關於2009年中國森林(已除牌)、2014年天合化工(1619)及另一家未提及名稱的上市申請。
TAGS: 0930 1619
會員: greatsoup 於2019-03-17 15:07:43 發表
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Merrill Lynch Far East Limited因保薦人缺失遭證監會譴責及罰款1.28億元 On the Tianhe Chemicals (1619) IPO in 2014. Notably no human at ML is named as responsible for the failings - perhaps that will come later. ML scores a lower fine than fellow sponsor Morgan Stanley at HK$224m for the same deal. UBS scored HK$375m, but that was for a hatrick of listing applications. 包括2014年保薦天合化工(1619)上市。並無提及個人在美林被認為需負責-或許稍後會跟進。美林處罰的金額較同時保薦上市的摩根史丹利2.24億輕。UBS罰款3.75億,但主要因為上市申請的問題。 3月17日
摩根士丹利亞洲有限公司因保薦人缺失遭證監會譴責及罰款2.24億元 The firm jointly sponsored Tianhe Chemicals (1619) in 2014, with UBS and Merrill Lynch. Notably this announcement doesn't mention any human at MS as being responsible - perhaps that will follow later. 該公司在2014年和UBS及美林共同保薦天合化工(1619)上市。並無提及個人在摩根史丹利被認為需負責-或許稍後會跟進。 3月17日
渣打證券因保薦人缺失被證監會譴責及罰款5,970萬元 For the 2009 IPO of China Forestry (now delisted), which it jointly sponsored with UBS. Together they win our "can't see the wood OR the trees" award for epic due diligence. Notably no human at SCS is named as responsible. 關於2009年中國森林(已除牌),由UBS共同保薦。他們因該史詩式盡職審查一起贏得「見木(或)不見林」獎。並無提及個人在渣打被認為需負責。 3月17日