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工銀國際遭港證監重罰2500萬保薦寶龍涉違規 @ 2014-05-22T10: Back Hot News
Keyword:證監 工銀國際 寶龍
Concept:寶龍地產2009年 , 證監會譴責工銀國際兩子公司工銀國際融資
根據香港證監會的調查,承配人由寶龍介紹給工銀國際融資,再由工銀國際融資將承配人介紹給聯屬公司工銀國際證券,以開立認購發售股份的賬戶。工銀國際證券並無根據《操守准則》的規定進行「認識你的客戶」盡職審查,以確定承配人的財政狀況或確認承配人是獨立於寶龍,便接受承配人認購發售股份。
)在香港的全資子公司工銀國際旗下兩家子公司工銀國際融資和工銀國際證券分別作出譴責及罰款1250萬港元的處罰,因其在寶龍地產2009年首次公開發售(IPO)中擔當角色存在缺失。

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