证监会对中金公司采取监管谈话：联想科创板 IPO 保荐未尽责

12 月 30 日消息，据中国证监会网站，证监会 12 月 20 日发布了《关于对中国国际金融股份有限公司及王晟、孙雷、赵沛霖、幸科、谢晶欣采取监管谈话监管措施的决定》（以下简称《决定》）。

IT之家了解到，《决定》显示，经查，证监会发现中金公司及王晟、孙雷、赵沛霖、幸科、谢晶欣在保荐联想集团有限公司（以下简称“发行人”），未勤勉尽责对发行人科创属性认定履行充分核查程序，主要依赖发行人提供的说明性文件得出结论性意见，相关程序及获取证据不足以支持披露内容，未能完整、准确评价发行人科创属性。

《决定》指出，上述行为违反了《证券发行上市保荐业务管理办法》（证监会令第 170 号）第五条的规定。按照《证券发行上市保荐业务管理办法》第六十五条的规定，证监会决定对中金公司及王晟、孙雷、赵沛霖、幸科、谢晶欣采取监管谈话的监督管理措施。

资料显示，中国国际金融股份有限公司（简称中金公司），成立于 1995 年 6 月，是中国内地第一家中外合资的投资银行，于 2015 年 11 月在香港联交所主板上市。

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