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西南证券投行五大烂项目谁背锅 两宗处罚后再涉违法

2017-09-11 07:17:38   中国经济网

中国经济网北京9月11日讯(记者关婧)近日,证监会通报上半年对IPO企业现场检查情况,其中广东科茂林产业化工股份有限公司(简称“广东科茂”)涉嫌存在账外支付费用、虚构利润、实际控制人近亲属涉嫌虚假转让股权消除同业竞争等问题,而广东科茂的保荐机构正是两度被监管处罚的西南证券。

对于保荐项目的财务造假问题,西南证券称公司开展对现有投行业务的全面梳理和自查,加强实施全面风险管理,对在会审核项目进行全面复核。事实上,西南证券的保荐项目和财务顾问业务均有被证监会立案调查。

今年5月16日、5月22日,西南证券收到两份《中国证券监督管理委员会行政处罚决定书》,分别涉及到鞍重股份重大资产重组财务顾问项目、大有能源2012年非公开发行股票项目及持续督导项目,西南证券及保荐人员分别因此被处罚。

除了上述三个被证监会点名的项目,西南证券在担任新华医疗财务顾问期间,对于上市公司频繁收购标的表示有利于提高资产质量、改善公司财务状况和增强持续盈利能力。但收购标的无法完成业绩承诺,又没有能力支付高额业绩补偿,尽管新华医疗已经将承诺方告上法庭,但即使诉讼成功也存在执行难的问题。

另外,作为万里股份的独立财务顾问,西南证券在美股上市公司搜房网试图借壳万里股份期间,在出具的独立财务顾问结论性意见中称,如果借壳完成,上市公司主营业务将转变为互联网房产及家居广告营销业务,有利于保护上市公司全体股东的利益。

当时搜房网方面承诺,2016年到2018年,收购标的实现净利润不低于8亿、10.40亿和13.52亿,不过这起借壳最终因无法达到交易各方预期而终止。事实上和被收购时业绩承诺相比,搜房网方面业绩完全不达预期。2016年搜房网营收9.164亿美元,同比增长4%,净利亏损1.696亿美元。

保荐项目和财务顾问业务均被证监会立案调查,西南证券的业绩下滑已在预料之中,上半年西南证券实现营业收入13.66亿元,净利润为3.67亿元,同比分别下降31.80%和57.38%。西南证券在半年报中也表示,原因是投行业务实现的营收同比大幅减少。

  IPO现场检查广东科茂再中招

9月1日,证监会新闻发布会对上半年IPO现场检查情况进行通报,此次现场检查共涉及35家企业。证监会表示,通过检查,发现部分企业存在未严格执行会计政策、部分业务会计处理不符合权责发生制、招股说明书部分信息披露口径前后不一致、关联方和关联交易披露不完整、内部控制执行不到位、现金使用不规范、会计凭证编制不规范、在建工程转固不及时等问题。

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