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Beijing Securities Regulatory Bureau takes administrative regulatory measures of supervisory talks with Guodu Securities
On May 15, the official website of the China Securities Regulatory Commission disclosed that, recently, the Beijing Securities Regulatory Bureau took administrative regulatory measures involving regulatory talks against Guodu Securities Co., Ltd. (hereinafter referred to as “Guodu Securities”).
According to the investigation, in certain corporate bond underwriting projects, Guodu Securities failed to prudently verify changes in the issuer’s major customers and the authenticity of related sales revenue, as well as the authenticity of the related engineering projects involved in accounts receivable and inventories, thereby violating Article 7 of the “Measures for the Administration of Corporate Bond Issuance and Trading.”
Pursuant to Article 58 of the “Measures for the Administration of Corporate Bond Issuance and Trading,” the Beijing Securities Regulatory Bureau decided to take administrative regulatory measures involving regulatory talks against Guodu Securities.