據(jù)交易商(shāng )協(xié)(xié )會(huì)披露,中金(jīn )財(cái)富證券在參與相關(guān)債務(wù)融資工具承銷(xiāo)發(fā)(fā )行過(guò)程(chéng )中存在兩大(dà )問(wèn)題:其一,在知悉或(huò )應(yīng)(yīng )當(dāng)知悉發(fā)行人(rén )向投資人提供(gòng )財(cái)務(wù)資助的情況下,仍推動(dòng)項(xiàng)目開(kāi)(kāi )展;其二,中金(jīn )財(cái)富證券不具(jù )備債(zhài )務(wù)融資工具(jù )主承銷(xiāo)商資(zī )質(zhì)但實(shí)質(zhì)開(kāi)展(zhǎn )了部分(fèn )主承銷(xiāo)工作。上述行為違反了(le )銀行間(jiān )債券市場(chǎng)中介服務(wù)及承銷(xiāo)發(fā)行相(xiàng )關(guān)規(guī)定。交易商協(xié)會(huì)經(jīng)自(zì )律(lǜ )處分會(huì)議審議后,決定對(duì)其采取警告措施。
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