Guotai Junan Zhu Yi was investigated and participated in the IPO review of the main board together with CaoJian and Chen Xiang

Zhu Yi, general manager of Guotai Junan Investment Banking, was investigated.

On November 26, the website of the Central Commission for Discipline Inspection and the State Supervision Commission released the news that according to the discipline inspection and supervision group of the Central Discipline Inspection Commission and the State Supervision Commission of the China Securities Regulatory Commission and the Jiangsu Provincial Supervision Commission, Zhu Yi, a member of the 14th, 15th and 16th Main Board Development and Review Committee of the China Securities Regulatory Commission, a former researcher of the Shanghai Regulatory Bureau, and the general manager of the investment banking department of Guotai Junan Securities Co., Ltd., is suspected of serious violations of the law and is currently under supervision and investigation.

According to the website of the Central Commission for Discipline Inspection and the State Supervision Commission, Zhu Yi was born in June 1975 in Ningbo, Zhejiang Province, joined the work in September 1997, transferred to the Shanghai Securities Regulatory Office of the China Securities Regulatory Commission in November 2000, served as deputy director of the office of the Shanghai Supervision Bureau of the China Securities Regulatory Commission and researcher of the Legal Work Office of the China Securities Regulatory Commission from May 2012 to September 2017, and served as a member of the 14th, 15th and 16th Main Board Of the China Securities Regulatory Commission from May 2012 to September 2017; and since August 2018, He is the assistant to the president of Guotai Junan Investment Management Co., Ltd., a member of the executive committee of the investment banking division of Guotai Junan Securities Co., Ltd., and the general manager of the investment banking department.

An insider in the industry told the first financial reporter that there are multiple departments under the Guotai Junan Investment Banking Division, and the Investment Banking Department is one of the departments under the Investment Banking Division.

The reporter consulted the official website of the China Securities Regulatory Commission, and during Zhu Yi's part-time membership of the Main Board Issuance Review Committee, he participated in as many as 223 announcements of the issuance review committee meeting (including the initial offering, additional issuance, allotment of shares, convertible bonds, etc.), including Shenzhen Yishang Display Co., Ltd. (first offering), Shuguang Information Industry Co., Ltd. (first offering), CECEP Wind Power Co., Ltd. (first offering), Changbaishan Tourism Co., Ltd. (first offering) and other project audits.

The reporter combed through the public information and found that some of the members of the Development and Review Committee who were in the same term as Zhu Yi had also been taken away for investigation. Zhu Yi is the third former member of the Main Board Development Review Committee to be taken away for investigation this year.

Chen Xiang, the former vice president of Tianjian Accounting Firm, who was taken away for investigation in July this year, was a member of the 14th, 15th and 16th Main Board Development and Review Committees together with Zhu Yi, and Chen Xiang was a full-time member. Cao Jian, the former deputy general manager of the Shanghai Stock Exchange in Shanghai City Center, who was taken away in June this year, also served as a member of the 16th Main Board Development Review Committee at the same time as the above two people, in addition to cao jian also served as a member of the 12th and 13th issuance and review committees of the CSRC.

Refusing to complete statistics, Zhu Yi, Chen Xiang and Cao Jian have jointly participated in the initial listing review of a number of enterprises, including Shenzhen Yishang Display Co., Ltd., Shuguang Information Industry Co., Ltd. and other projects.

For the specific reasons for Zhu Yi's acceptance of the supervision and investigation and the impact on Guotai Junan Securities, the first financial reporter contacted Guotai Junan, but as of press time, there was no reply.