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华林证券冲IPO:接连违规内控不足 频繁股权转让迁址

2017-09-25 09:11:53   中国经济网

□本报记者 魏度

尽管已经成立近30年,但规模依然偏小,一心想做大做强的华林证券欲闯关IPO,踏上扩张之路。

然而,长江商报记者发现,截至2016年底,在百余家券商中,华林证券的总资产仅排第68位、净资本排第76位,而其成本管理能力在2014年、2015年分别为第三、第九,2016年则倒退至第33,三年下滑了30位。

更为重要的是,华林证券内控不足的迹象正逐步显现。2016年,曾曝出东莞一营业部代客炒股亏损1500万元引发当事人投诉,最近,又有其石家庄营业部员工借用他人账户炒股被证监会处罚。另外,作为新三板公司族兴新材的主办券商,未能勤勉尽责地进行有效事前审查和履行督导职责,华林证券被股转公司处罚。

其实,华林证券遭遇的“闻名”事件远不止这些。

长江商报记者梳理发现,华林证券经历了10多次股权转让、4次迁址,曾引进投行大佬薛荣年、“固收女王”孙明霞,因两人出事引发人事动荡。

此外,记者还注意到,华林证券声称采取差异化竞争,但其自称的特色业务竞争优势并不明显。

华林证券折腾多,频繁股权转让、迁址

脱胎于体制内的华林证券,前行路上频频折腾。

1988年,华林证券前身江门证券成立,是国内首批成立的综合类证券公司之一,2003年更名为华林证券,去年3月完成股改。在长达近30年的前进途中,华林证券频频进行股权转让。

华林证券成立之初,注册资本2000万元,1992年重新登记,注册资本1000万元,其中,中国人民银行江门分行出资700万元,江门市财政局出资300万元。1996年开始,江门人行与华林证券脱钩,同时,公司增资至5600万元,广东开平供水集团等8家公司认购进入。

从2002年开始,华林证券开始频繁转让。

招股书称,彼时,江门证券经营形势严峻,国有股权全部转让。至2003年,立业集团、深圳怡景食品和深圳希格玛完成对江门证券关联方股权的收购,立业集团掌门人林立成为江门证券的实控人。

就在这一年,江门证券更名为华林证券,注册资本增至8.07亿元,股东数量增至17个。

此后,历经多次股权转让,华林证券的股东数量减少至三个,即立业集团、怡景食品和希格玛,立业集团的持股上升至71.62%。

值得一提的是,此前的广州特发房地产公司等10家是替立业集团代持华林证券持股。

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