1.对东吴证券股份有限公司责令改正，给予警告，针对国美通讯项目，没收保荐业务收入943396.23元，并处以100万元罚款，没收承销业务违法所得4716981.13元，并处以50万元罚款;针对紫鑫药业项目，没收保荐业务收入2068000元，并处以4136000元罚款;2.对张琦给予警告，并对保荐执业行为和承销执业行为分别处以50万元、20万元罚款;3.对王新给予警告，并对保荐执业行为和承销执业行为分别处以50万元、20万元罚款;4.对蒋序全给予警告，并处以20万元罚款;5.对李佳佳给予警告，并处以10万元罚款。Soochow Securities (601555.SH) announced that on January 8, 2025, the company received a notice from the China Securities Regulatory Commission regarding the actions...
According to the report from Zhitong Finance APP, Soochow Securities (601555.SH) announced that on January 8, 2025, the company received the "Administrative Penalty Decision" (〔2025〕1) from the China Securities Regulatory Commission. It was found that Soochow Securities and relevant personnel were involved in illegal activities regarding: 1. The non-public issuance of Stocks by Gome Communications; 2. The non-public issuance of Stocks by Zixin Pharmaceutical.
Based on the illegal facts, nature, circumstances, and social harm degree of the parties involved, according to Article 192 of the Securities Law of 2005, and Articles 182 and 184 of the Securities Law, the China Securities Regulatory Commission decided:
1. To order Soochow Securities Co., Ltd. to correct its actions, give a warning, confiscate the sponsorship business income of 943,396.23 yuan related to the Gome Communications project, and impose a fine of 1 million yuan, confiscate the illegal income from the underwriting business of 4,716,981.13 yuan, and impose a fine of 0.5 million yuan; for the Zixin Pharmaceutical project, confiscate the sponsorship business income of 2,068,000 yuan and impose a fine of 4,136,000 yuan; 2. To warn Zhang Qi and impose fines of 0.5 million yuan and 0.2 million yuan for the sponsorship and underwriting practices respectively; 3. To warn Wang Xin and impose fines of 0.5 million yuan and 0.2 million yuan for the sponsorship and underwriting practices respectively; 4. To warn Jiang Xuqian and impose a fine of 0.2 million yuan; 5. To warn Li Jiajia and impose a fine of 0.1 million yuan.
