中(zhong)證網訊（記(ji)者 李(li)夢(meng)揚）4月(yue)13日(ri)，北京證監(jian)(jian)局網站(zhan)披露(lu)了關(guan)(guan)(guan)于對國(guo)都證券(quan)(quan)股份有(you)限(xian)公(gong)司(si)(si)（簡稱(cheng)“國(guo)都證券(quan)(quan)”）采取(qu)責令改正并(bing)限(xian)制業務(wu)(wu)(wu)(wu)活(huo)動(dong)行政(zheng)監(jian)(jian)管(guan)(guan)(guan)措施(shi)(shi)的(de)決(jue)定。經查(cha)，國(guo)都證券(quan)(quan)存在股權管(guan)(guan)(guan)理(li)(li)未(wei)履(lv)職盡責、未(wei)依(yi)規執(zhi)行治理(li)(li)程序、激勵的(de)約(yue)束(shu)機制缺失(shi)、關(guan)(guan)(guan)聯交(jiao)易管(guan)(guan)(guan)理(li)(li)失(shi)當等問題。北京證監(jian)(jian)局決(jue)定對國(guo)都證券(quan)(quan)采取(qu)責令改正并(bing)限(xian)制業務(wu)(wu)(wu)(wu)活(huo)動(dong)的(de)行政(zheng)監(jian)(jian)管(guan)(guan)(guan)措施(shi)(shi)。在2023年(nian)4月(yue)12日(ri)至2023年(nian)10月(yue)11日(ri)期間，暫停公(gong)司(si)(si)與股票發行相(xiang)關(guan)(guan)(guan)的(de)保薦、承銷業務(wu)(wu)(wu)(wu)，公(gong)司(si)(si)債券(quan)(quan)承銷業務(wu)(wu)(wu)(wu)，資產(chan)證券(quan)(quan)化業務(wu)(wu)(wu)(wu)，非上(shang)市公(gong)眾公(gong)司(si)(si)推薦業務(wu)(wu)(wu)(wu)。

　　具(ju)體來(lai)看，北京證監局指出，國都證券(quan)存在以下(xia)問題(ti)，在公(gong)(gong)司(si)治(zhi)理(li)(li)方面，一是股(gu)權(quan)管(guan)(guan)理(li)(li)未(wei)履職(zhi)盡責。未(wei)審(shen)慎判(pan)斷(duan)并報告(gao)部分(fen)股(gu)東(dong)(dong)(dong)一致行動人關系(xi)情(qing)況、公(gong)(gong)司(si)股(gu)權(quan)結構(gou)重大(da)變(bian)化和(he)(he)個別股(gu)東(dong)(dong)(dong)對公(gong)(gong)司(si)經營管(guan)(guan)理(li)(li)的(de)影響。二是未(wei)依(yi)規執行治(zhi)理(li)(li)程序。未(wei)召(zhao)開(kai)股(gu)東(dong)(dong)(dong)大(da)會和(he)(he)董事(shi)會審(shen)議董事(shi)(獨立(li)董事(shi)除外(wai))、監事(shi)薪(xin)酬和(he)(he)高級(ji)管(guan)(guan)理(li)(li)人員績(ji)效年薪(xin)。三是激勵(li)的(de)約束機制(zhi)缺失。績(ji)效考(kao)核(he)和(he)(he)薪(xin)酬管(guan)(guan)理(li)(li)制(zhi)度未(wei)充分(fen)反映(ying)合規管(guan)(guan)理(li)(li)和(he)(he)風(feng)險管(guan)(guan)理(li)(li)要求。

　　投資(zi)銀行(xing)(xing)業務(wu)(wu)(wu)(wu)(wu)方(fang)面，受公(gong)司治理影響存在(zai)以下(xia)問(wen)題：一是關聯交易管理失當(dang)。關聯方(fang)投行(xing)(xing)業務(wu)(wu)(wu)(wu)(wu)執業標(biao)準低；業務(wu)(wu)(wu)(wu)(wu)獨立(li)性(xing)不足(zu)，業務(wu)(wu)(wu)(wu)(wu)通(tong)道化(hua)；對部(bu)(bu)分關聯方(fang)業務(wu)(wu)(wu)(wu)(wu)未(wei)履行(xing)(xing)合(he)規審查和信(xin)息披露。二是執行(xing)(xing)業務(wu)(wu)(wu)(wu)(wu)未(wei)勤(qin)勉(mian)盡責(ze)。部(bu)(bu)分債券項(xiang)目未(wei)充分核(he)(he)查發(fa)行(xing)(xing)人主要風險(xian)發(fa)生(sheng)變化(hua)的(de)影響；部(bu)(bu)分IPO項(xiang)目申報材料(liao)未(wei)充分核(he)(he)實發(fa)行(xing)(xing)人采購、存貨(huo)、費用支出等(deng)業務(wu)(wu)(wu)(wu)(wu)真實性(xing)；對項(xiang)目信(xin)用變化(hua)的(de)風險(xian)防范和應對缺(que)失，業務(wu)(wu)(wu)(wu)(wu)風險(xian)積聚。三是合(he)規內(nei)(nei)(nei)控管理薄弱(ruo)。同一項(xiang)目短期內(nei)(nei)(nei)多次(ci)召開立(li)項(xiang)、內(nei)(nei)(nei)核(he)(he)會議，在(zai)相關問(wen)題沒有進一步充分核(he)(he)查的(de)情況下(xia)即(ji)通(tong)過了內(nei)(nei)(nei)控程序；投資(zi)銀行(xing)(xing)業務(wu)(wu)(wu)(wu)(wu)薪(xin)酬激勵實行(xing)(xing)包干，業務(wu)(wu)(wu)(wu)(wu)人員(yuan)收入(ru)與項(xiang)目收入(ru)直(zhi)接(jie)掛鉤，業務(wu)(wu)(wu)(wu)(wu)部(bu)(bu)門負責(ze)人薪(xin)酬遞延(yan)不滿(man)足(zu)規定(ding)年限。

　　上(shang)述問題反映公(gong)(gong)司(si)(si)(si)治(zhi)理結構不健全(quan)，公(gong)(gong)司(si)(si)(si)治(zhi)理失衡，投(tou)(tou)行(xing)(xing)業(ye)(ye)(ye)務(wu)內(nei)控(kong)制(zhi)衡失效(xiao)，影(ying)響公(gong)(gong)司(si)(si)(si)合規穩健展業(ye)(ye)(ye)。根據(ju)相關規定，北京證(zheng)(zheng)監(jian)(jian)局決定對(dui)國(guo)都證(zheng)(zheng)券(quan)采取(qu)責(ze)令改正(zheng)并限制(zhi)業(ye)(ye)(ye)務(wu)活動的(de)行(xing)(xing)政(zheng)監(jian)(jian)管措(cuo)施(shi)：一是公(gong)(gong)司(si)(si)(si)應采取(qu)切實有效(xiao)的(de)整(zheng)改措(cuo)施(shi)，厘清股東股權關系，完善(shan)公(gong)(gong)司(si)(si)(si)治(zhi)理，建(jian)立(li)有效(xiao)內(nei)控(kong)機制(zhi)，切實提(ti)升投(tou)(tou)資銀行(xing)(xing)業(ye)(ye)(ye)務(wu)質量。公(gong)(gong)司(si)(si)(si)應對(dui)負有直接責(ze)任(ren)或者主要責(ze)任(ren)的(de)人員(yuan)進行(xing)(xing)內(nei)部問責(ze)，并向北京證(zheng)(zheng)監(jian)(jian)局報告結果(guo)。二是在2023年(nian)4月12日至2023年(nian)10月11日期間，暫停公(gong)(gong)司(si)(si)(si)與股票發行(xing)(xing)相關的(de)保薦、承(cheng)銷業(ye)(ye)(ye)務(wu)，公(gong)(gong)司(si)(si)(si)債(zhai)券(quan)承(cheng)銷業(ye)(ye)(ye)務(wu)，資產證(zheng)(zheng)券(quan)化業(ye)(ye)(ye)務(wu)，非上(shang)市公(gong)(gong)眾公(gong)(gong)司(si)(si)(si)推薦業(ye)(ye)(ye)務(wu)。三(san)是公(gong)(gong)司(si)(si)(si)應在暫停業(ye)(ye)(ye)務(wu)期間屆滿前向北京證(zheng)(zheng)監(jian)(jian)局提(ti)交書面整(zheng)改報告。

　　此外(wai)，北(bei)京證監(jian)(jian)局對國都證券董(dong)(dong)事長(chang)翁(weng)(weng)振(zhen)杰(jie)和(he)時(shi)任(ren)(ren)董(dong)(dong)事會秘書朱玉(yu)萍采取(qu)監(jian)(jian)管(guan)(guan)談(tan)(tan)話(hua)的(de)行政監(jian)(jian)管(guan)(guan)措(cuo)施。北(bei)京證監(jian)(jian)局稱(cheng)，根(gen)據相(xiang)關規(gui)定，公(gong)司(si)(si)董(dong)(dong)事會對股(gu)東大會負責(ze)，對公(gong)司(si)(si)合規(gui)管(guan)(guan)理、風險(xian)管(guan)(guan)理和(he)內(nei)部控制(zhi)體系的(de)有(you)(you)(you)效性承擔最終責(ze)任(ren)(ren)，作為公(gong)司(si)(si)董(dong)(dong)事長(chang)，翁(weng)(weng)振(zhen)杰(jie)對此負有(you)(you)(you)主要責(ze)任(ren)(ren)，同時(shi)根(gen)據相(xiang)關規(gui)定，翁(weng)(weng)振(zhen)杰(jie)是(shi)公(gong)司(si)(si)股(gu)權管(guan)(guan)理事務的(de)第一責(ze)任(ren)(ren)人；作為公(gong)司(si)(si)時(shi)任(ren)(ren)董(dong)(dong)事會秘書，朱玉(yu)萍對上述部分(fen)問題負有(you)(you)(you)責(ze)任(ren)(ren)，同時(shi)根(gen)據相(xiang)關規(gui)定，朱玉(yu)萍是(shi)公(gong)司(si)(si)股(gu)權管(guan)(guan)理事務的(de)直(zhi)接責(ze)任(ren)(ren)人。兩人后續(xu)需根(gen)據北(bei)京證監(jian)(jian)局要求，攜帶有(you)(you)(you)效身份證件到北(bei)京證監(jian)(jian)局接受監(jian)(jian)管(guan)(guan)談(tan)(tan)話(hua)。