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国海证券“萝卜章”事件调查完毕 张杨或十年禁业

2017-05-22 12:36:16   法制日报

原标题:国海证券“萝卜章”事件调查完毕 张杨或十年禁业

本报讯 记者周芬棉 曾经在债券市场引起巨大风波的国海证券“萝卜章”事件,终于在近日调查完毕,并将有处理结果。证监会日前通报称,2016年12月13日,国海证券发生的债券风险事件,系公司原员工张杨等人,以国海证券名义在外开展债券代持交易,未了结合约金额约200亿元,涉及金融机构20余家的重大事件。

证监会核查认定,国海证券存在内部管理混乱、合规风控失效、违规事项多发等问题。

为严肃法纪,加强监管,进一步规范证券基金经营机构经营行为,证监会拟对国海证券及有关人员依法进行严肃处理:

拟对国海证券采取暂停资产管理产品备案一年、暂停新开证券账户一年及暂不受理债券承销业务有关文件一年的行政监管措施,责令公司在一年内限期改正,并增加内部合规检查次数;对张杨、郭亮两名违规人员认定为不适当人选(分别在10年、8年内不得担任证券公司资产管理业务相关职务),其涉嫌违法问题移交稽查部门调查处理,对与事件相关的5名违规人员移交中国证券业协会注销证券执业资格;

对负有管理责任的两名分管高级管理人员撤销任职资格;对负有监督责任的3名历任合规总监公开谴责;对其他有关人员责令公司进行处分。证监会已向有关当事人送达行政监管措施事先告知书。

此外,对负责国海证券内部控制审计的会计师事务所,证监会还将对其执业质量进行核查后,依法处理。

(责编:孙博洋、夏晓伦)

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