上交所發布
經查明(ming)(ming),2019年4月(yue)28日(ri),在向(xiang)上(shang)(shang)(shang)交(jiao)(jiao)(jiao)所(suo)(suo)報送(song)的《交(jiao)(jiao)(jiao)控科(ke)技股(gu)(gu)份有(you)限(xian)公(gong)司(si)首次(ci)公(gong)開發(fa)行A股(gu)(gu)股(gu)(gu)票并(bing)在科(ke)創板上(shang)(shang)(shang)市申請(qing)文件審(shen)核問(wen)(wen)(wen)詢函(han)的回復》(以下簡(jian)稱《問(wen)(wen)(wen)詢回復》)及同(tong)步報送(song)的更新版(ban)招股(gu)(gu)說(shuo)明(ming)(ming)書(shu)中(zhong)(zhong),萬久清(qing)、莫(mo)鵬(peng)作為(wei)保薦工(gong)作具體(ti)負(fu)責(ze)人(ren),擅自多(duo)處(chu)修改(gai)了招股(gu)(gu)說(shuo)明(ming)(ming)書(shu)中(zhong)(zhong)有(you)關經營數據、業務與技術、管理層分析等(deng)信息披(pi)露數據和(he)內容,并(bing)由此同(tong)步多(duo)處(chu)修改(gai)了上(shang)(shang)(shang)交(jiao)(jiao)(jiao)所(suo)(suo)問(wen)(wen)(wen)詢問(wen)(wen)(wen)題(ti)中(zhong)(zhong)引述的招股(gu)(gu)說(shuo)明(ming)(ming)書(shu)相關內容。上(shang)(shang)(shang)述修改(gai),未按(an)上(shang)(shang)(shang)交(jiao)(jiao)(jiao)所(suo)(suo)要求采用楷(kai)體(ti)加粗格(ge)式標明(ming)(ming)并(bing)向(xiang)上(shang)(shang)(shang)交(jiao)(jiao)(jiao)所(suo)(suo)報告,也未按(an)照保薦業務執業規(gui)(gui)范和(he)中(zhong)(zhong)金(jin)公(gong)司(si)內部控制制度的規(gui)(gui)定(ding)報送(song)公(gong)司(si)內核部門審(shen)核把關。違規(gui)(gui)行為(wei)發(fa)生后(hou),中(zhong)(zhong)金(jin)公(gong)司(si)及其保薦代(dai)表人(ren)萬久清(qing)、莫(mo)鵬(peng)能(neng)認識到行為(wei)的錯誤,并(bing)按(an)照要求予以改(gai)正。
上(shang)(shang)交(jiao)所(suo)在紀律處(chu)(chu)分決定書(shu)指出,招股說(shuo)明(ming)書(shu)報(bao)(bao)送稿以及(ji)對發行上(shang)(shang)市(shi)審核(he)問(wen)(wen)詢的(de)(de)回(hui)復,是股票(piao)發行上(shang)(shang)市(shi)審核(he)中的(de)(de)重要文件(jian),市(shi)場和投資者對此(ci)高度(du)關(guan)注。萬久(jiu)清、莫鵬(peng)作(zuo)為(wei)(wei)中金(jin)公(gong)司委(wei)派的(de)(de)保薦代表人,應當恪守業(ye)(ye)務規(gui)則和行業(ye)(ye)規(gui)范,誠實守信、勤勉盡責,按(an)照要求認真回(hui)復問(wen)(wen)詢問(wen)(wen)題,報(bao)(bao)告(gao)招股說(shuo)明(ming)書(shu)的(de)(de)修改內(nei)容。其上(shang)(shang)述不(bu)當行為(wei)(wei),違反了《科(ke)創板(ban)首次公(gong)開發行股票(piao)注冊管理辦法(試行)》和《上(shang)(shang)海證券交(jiao)易所(suo)科(ke)創板(ban)股票(piao)發行上(shang)(shang)市(shi)審核(he)規(gui)則》的(de)(de)相(xiang)關(guan)規(gui)定,也違反了保薦代表人的(de)(de)執業(ye)(ye)規(gui)范。基(ji)于(yu)查明(ming)的(de)(de)事實,保薦代表人萬久(jiu)清、莫鵬(peng)是本次違規(gui)行為(wei)(wei)的(de)(de)直接責任人,上(shang)(shang)交(jiao)所(suo)按(an)照紀律處(chu)(chu)分委(wei)員(yuan)會(hui)審核(he)意見(jian),對其予以通報(bao)(bao)批評(ping)。該(gai)紀律處(chu)(chu)分決定將通報(bao)(bao)中國證監會(hui),并記(ji)入保薦代表人的(de)(de)執業(ye)(ye)質量評(ping)價和誠信檔案。
上述違規行(xing)為發生,同時也說明中(zhong)金公司(si)作為保(bao)薦(jian)(jian)機構,在保(bao)薦(jian)(jian)代表人業(ye)務管(guan)理、保(bao)薦(jian)(jian)業(ye)務內(nei)部(bu)質量(liang)控(kong)制等方面,存(cun)在薄(bo)弱環節。就此,上交(jiao)所已對中(zhong)金公司(si)另行(xing)采取了書面警示的監管(guan)措施,督(du)促其(qi)在科創板相關發行(xing)上市申(shen)請(qing)項目中(zhong),進一步加強(qiang)保(bao)薦(jian)(jian)業(ye)務和(he)保(bao)薦(jian)(jian)代表人監督(du)管(guan)理。
科創板(ban)發(fa)行(xing)(xing)上市(shi)審(shen)核是(shi)試(shi)點(dian)注冊制的重要(yao)組成部(bu)分,需要(yao)堅持以信(xin)息(xi)披(pi)露(lu)(lu)(lu)為(wei)中(zhong)心(xin),需要(yao)壓實中(zhong)介機構(gou)對(dui)信(xin)息(xi)披(pi)露(lu)(lu)(lu)質(zhi)量的把關責(ze)任。后續,上交所對(dui)發(fa)行(xing)(xing)上市(shi)審(shen)核過程中(zhong)發(fa)現的違規(gui)行(xing)(xing)為(wei),將嚴格依規(gui)予以懲處。希望所有的保(bao)(bao)薦機構(gou)、保(bao)(bao)薦代表人和其他中(zhong)介機構(gou)及其相關責(ze)任人,能夠從(cong)本(ben)起違規(gui)行(xing)(xing)為(wei)和紀律處分中(zhong)汲(ji)取經(jing)驗(yan)教訓,認(ren)真履行(xing)(xing)職責(ze),對(dui)制作(zuo)和報送的信(xin)息(xi)披(pi)露(lu)(lu)(lu)文件進(jin)行(xing)(xing)全面核查驗(yan)證,共同(tong)推動設立科創板(ban)并試(shi)點(dian)注冊制的平(ping)穩有序實施。
證監會發布
上(shang)(shang)(shang)交(jiao)所在(zai)科(ke)創(chuang)板(ban)發(fa)行(xing)(xing)上(shang)(shang)(shang)市審核發(fa)現,交(jiao)控科(ke)技(ji)股份(fen)有限(xian)(xian)公司(si)發(fa)行(xing)(xing)上(shang)(shang)(shang)市保薦代表人(ren)萬(wan)久清、莫(mo)鵬(peng)違規(gui)改動招股說明書審核問(wen)詢函(han)等注(zhu)冊申請相關文件。經調查實,按照(zhao)《科(ke)創(chuang)板(ban)首次公開發(fa)行(xing)(xing)股票注(zhu)冊理辦(ban)法(試行(xing)(xing))》《證券發(fa)行(xing)(xing)上(shang)(shang)(shang)市保薦業務管理辦(ban)法》的(de)(de)規(gui)定,在(zai)上(shang)(shang)(shang)交(jiao)所采(cai)取紀律處的(de)(de)基礎上(shang)(shang)(shang),我會對中國(guo)國(guo)際金融股份(fen)有限(xian)(xian)公司(si)上(shang)(shang)(shang)述兩名保薦代表人(ren)采(cai)取出具(ju)警示函(han)的(de)(de)政監(jian)管措施。