B · Normal
[Regulatory notification: A third party used shell companies and false audit reports to trick investors into buying high-risk bonds] On September 9, reporters learned that some local securities regulatory bureaus have recently reported chaos in the identification of professional investors within their jurisdiction. Supervision said that there are third-party institutions and personnel in the market who, in the name of "investment", trick investors into changing into legal representatives of "shell" companies, and then provide false coded audit reports to defraud professional investor qualifications, and then purchase specific high-risk bonds. Some securities firms failed to effectively identify the financial information of professional investors and failed to identify false audit reports provided by investors. According to regulatory requirements, securities firms should strengthen the identification and review of professional investors, strictly control the review of materials, focus on the authenticity, validity, and relevance of materials, and strictly prohibit "paper review"; conduct self-examination of the qualifications and conditions of recognized professional investors, and inspect audit reports and other materials on the unified supervision platform of the CPA industry; continue to educate investors, strengthen risk notifications at key nodes such as professional investor declarations and information changes, and strengthen investor anti-fraud awareness education. (Reporter Lin Jian)
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