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因對發行人股權清晰度核查不到位，東方證券及兩位保代被監管警示
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因對發行人股權清晰度核查不到位，東方證券及兩位保代被監管警示

11月4日，上交所披露了關于對東方證券承銷保薦有限公司及保薦代表人李某蔚、佀某昌予以監管警示的決定。

東方證券承銷保薦為蘇州明皜傳感科技股份有限公司首次公開發行股票并在科創板上市的申請項目保薦人，2024年6月4日上交所終止明皜傳感發行上市審核。

經查，東方證券承銷保薦作為保薦機構，因未能對明皜傳感項目股權清晰情況予以充分關注及審慎核查報告，履行保薦職責不到位。李某蔚、佀某昌作為項目保薦代表人，對此負有直接責任。保薦機構及兩位人員最終均被予以監管警示。同時上交所要求東方證券承銷保薦進行整改和內部追責，并向上交所提交書面整改報告。

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