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浙江天册律师事务所领警示函
2017-09-08 07:22:22 中国经济网
■本报记者 朱宝琛
《证券日报》获悉,因为被检查的项目中存在六方面的问题,浙江证监局决定对浙江天册律师事务所采取出具警示函的行政监管措施。同时,浙江证监局要求该所在今后执业过程中严格遵守法律法规及相关规定,进一步提升证券法律业务执业质量。
根据《证券法》《律师事务所从事证券法律业务管理办法》、《律师事务所证券法律业务执业规则(试行)》等规定,浙江证监局对浙江天册律师事务所从事企业首次公开发行股票并上市证券法律业务进行了检查。经查,天册律师事务所被检查的项目中存在六方面问题。
具体看,一是个别项目未将你所与当事人签订的委托协议归入工作底稿;二是部分律师访谈纪要(访谈记录)、调查表、承诺函等存在缺少谈话律师签字确认或者当事人签字确认的情况,部分访谈记录缺页,个别查询记录的查询内容与工作底稿资料无法对应;三是个别采用视频方式的访谈记录,既未经访谈对象确认,又未将相关音像资料归入工作底稿;四是个别项目中对发行人及其股东、董事、监事和高级管理人员等进行的网络核查,未按规定制作记录查询内容、时间、地点、载体等有关事项的查询笔录;五是个别项目的证券期货诚信信息通过查询证监会网站“信息公开”栏获得,查询方式不适当;六是个别项目存在查验计划内容缺失、无经办律师签字,内核记录内容缺失、缺少内核委员律师签字等情况。
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