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个别拟上市企业系统性造假触目惊心

2017-06-13 17:02:34   中国经济网

有资深会计师称,审计师没有执法权,无法拿到企业客户开户行的对账单。如果银行、客户配合企业肆意造假,投资者是受害者,审计机构也是受害者

■本报记者 马 燕

连日来证监会重拳出击,律所、审计所、保荐券商等中介机构频接罚单,且罚单数额巨大,一浪高过一浪。

北京市盈科律师事务所臧小丽律师指出,与往年相比,证监会近期的行政监管有更加严厉的倾向,雷厉风行。

证监会巨额罚单

惩戒中介机构

6月5日晚,证监会网站公布了对登云股份的保荐机构新时代证券及相关保代、法律服务机构广东君信律师事务所及两名签字律师的处罚决定。

因登云股份IPO虚假陈述,广东君信律所及两名签字律师合计被证监会罚没款400万元,新时代证券及保荐代表被罚款逾3400万元。

而就在这份巨额罚单开出前几日,因九好集团和鞍重股份忽悠式重组而被处罚900万元的天元律所还是中介机构和市场热议的焦点话题。

与此同时,审计机构也接连吃罚单,在内资所业务总量排名第一的瑞华会计师事务所因触发“两年两单”的规定而被暂停承接新的证券业务后,证券业第一大所立信会计师事务所也接到了第二张罚单。立信是否将因“两年两单”而被暂停承接新的证券业务目前尚无结果,证监会官方网站尚未发布相关文件。

不到半年的时间,行业两大会计师事务所相继“出事”,让市场的神经再度绷紧。

据媒体援引熟悉资本市场的人士介绍,“被暂停承接新的证券业务,并不是丧失证券资格,而且受处罚前已经承接和正在承做的证券业务均不受影响。但是,社会舆论、客户的误解甚至是一些过度解读会让瑞华感受到压力。”

值得注意的是,瑞华被罚后,有部分新三板挂牌公司把审计机构从瑞华变更为立信,而在将审计机构由瑞华更换为立信不久,立信又出事了。

在收到第二张罚单(康华农业项目)后,立信内部对于是否申请行政复议意见不一。

据《证券日报》记者独家了解,康华农业造假东窗事发,源于监管机构调取了康华农业客户开户行的账户资金信息,发现与从康华农业开户行调取的信息并不一致。与立信一样,监管机构从康华农业主要银行账户所在的银行得到的,也是一份假的对账单。

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