{"id":67492,"date":"2022-04-13T12:19:00","date_gmt":"2022-04-13T05:19:00","guid":{"rendered":"https:\/\/www.xinwengao.com\/cn\/pr\/2022041312190067492"},"modified":"2022-04-13T18:34:04","modified_gmt":"2022-04-13T10:34:04","slug":"%e8%af%ba%e4%ba%9a%e6%8e%a7%e8%82%a1%e6%9c%89%e9%99%90%e5%85%ac%e5%8f%b8%e6%8f%90%e4%be%9b%e3%80%8a%e5%a4%96%e5%9b%bd%e5%85%ac%e5%8f%b8%e9%97%ae%e8%b4%a3%e6%b3%95%e3%80%8b%e7%9a%84%e6%9b%b4%e6%96%b0","status":"publish","type":"post","link":"https:\/\/www.xinwengao.com\/cn\/pr\/2022041312190067492","title":{"rendered":"\u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8\u63d0\u4f9b\u300a\u5916\u56fd\u516c\u53f8\u95ee\u8d23\u6cd5\u300b\u7684\u66f4\u65b0\u60c5\u51b5"},"content":{"rendered":"<p><p><span class=\"legendSpanClass\">\u4e0a\u6d77<\/span><span class=\"legendSpanClass\">2022\u5e744\u670813\u65e5<\/span> \/\u7f8e\u901a\u793e\/ &#8212; \u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8\uff08\u4ee5\u4e0b\u7b80\u79f0\u201c\u8bfa\u4e9a\u201d\u6216\u201c\u516c\u53f8\u201d\uff09\uff08\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\uff1aNOAH\uff09\uff0c\u4e00\u5bb6\u9886\u5148\u7684\u4e2d\u56fd\u8d22\u5bcc\u7ba1\u7406\u670d\u52a1\u63d0\u4f9b\u5546\uff0c\u4e3b\u8981\u4e3a\u9ad8\u51c0\u503c\u6295\u8d44\u8005\u63d0\u4f9b\u5168\u7403\u6295\u8d44\u548c\u8d44\u4ea7\u914d\u7f6e\u7684\u4e00\u7ad9\u5f0f\u7efc\u5408\u54a8\u8be2\u670d\u52a1\uff0c\u4eca\u5929\u63d0\u4f9b\u4e86\u300a\u5916\u56fd\u516c\u53f8\u95ee\u8d23\u6cd5\u300b\uff08\u201cHFCAA\u201d\uff09\u4e0b\u7684\u6700\u65b0\u72b6\u6001\u3002<\/p>\n<p>2022\u5e744\u670812\u65e5\uff0c\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\uff08\u201cSEC\u201d\uff09\u6682\u65f6\u5c06\u516c\u53f8\u547d\u540d\u4e3a\u201c\u59d4\u5458\u4f1a\u8ba4\u5b9a\u7684\u53d1\u884c\u4eba\u201d\uff0c\u5728\u516c\u53f8\u4e8e2022\u5e744\u67086\u65e5\u5411SEC\u63d0\u4ea4\u4e86\u622a\u81f32021\u5e7412\u670831\u65e5\u7684\u5e74\u5ea620F\u4f1a\u8ba1\u62a5\u544a\u540e\uff0c\u8be5\u5e74\u5ea6\u62a5\u544a\u5305\u62ec\u4e86\u7f8e\u56fd\u4e0a\u5e02\u516c\u53f8\u4f1a\u8ba1\u76d1\u7763\u59d4\u5458\u4f1a\uff08PCAOB\uff09\u8ba4\u5b9a\u65e0\u6cd5\u5f7b\u5e95\u68c0\u67e5\u6216\u8c03\u67e5\u7684\u516c\u5171\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\u51fa\u5177\u7684\u5ba1\u8ba1\u62a5\u544a\u3002SEC\u4f30\u8ba1\uff0c\u4f5c\u4e3a2020\u65e5\u5386\u5e74\u5bf9\u6ce8\u518c\u4eba\u5ba1\u67e5\u7684\u4e00\u90e8\u5206\uff0cHFCAA\u53ef\u80fd\u4f1a\u786e\u5b9a273\u540d\u6ce8\u518c\u4eba\u3002<\/p>\n<p>\u516c\u53f8\u4e86\u89e3SEC\u662f\u6839\u636eHFCAA\u505a\u51fa\u4e86\u8fd9\u6837\u7684\u8ba4\u5b9a\uff0c\u5373\u5982\u679cSEC\u786e\u5b9a\u4e00\u5bb6\u516c\u53f8\u5df2\u7ecf\u63d0\u4ea4\u4e86\u4e00\u5bb6\u6ce8\u518c\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\u51fa\u5177\u7684\u5ba1\u8ba1\u62a5\u544a\uff0c\u82e5\u8be5\u62a5\u544a\u4e0d\u80fd\u57282021\u5e74\u8d77\u3001\u8fde\u7eed\u4e09\u5e74\u88abPCAOB\u68c0\u67e5\u6216\u8c03\u67e5\uff0cSEC\u5e94\u7981\u6b62\u5176\u80a1\u7968\u6216\u7f8e\u56fd\u5b58\u6258\u80a1\u7968\uff08\u201cADS\u201d\uff09\u5728\u7f8e\u56fd\u7684\u56fd\u5bb6\u8bc1\u5238\u4ea4\u6613\u6240\u6216\u573a\u5916\u4ea4\u6613\u5e02\u573a\u4e0a\u4ea4\u6613\u3002\u6839\u636eHFCAA\u7684\u73b0\u884c\u6761\u6b3e\uff0c\u516c\u53f8\u7684\u7f8e\u56fd\u5b58\u6258\u80a1\u7968\u5c06\u4e8e2024\u5e74\u521d\u4ece\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u9000\u5e02\uff0c\u9664\u975eHFCAA\u88ab\u4fee\u8ba2\u4ee5\u6392\u9664\u516c\u53f8\uff0c\u6216\u8005PCAOB\u80fd\u591f\u5728\u89c4\u5b9a\u7684\u65f6\u95f4\u8303\u56f4\u5185\u5bf9\u516c\u53f8\u7684\u5ba1\u8ba1\u5e08\u8fdb\u884c\u5168\u9762\u68c0\u67e5\u3002\u516c\u53f8\u6b64\u524d\u66fe\u62ab\u9732\uff0c\u5176\u5ba1\u8ba1\u5e08\u662f\u72ec\u7acb\u6ce8\u518c\u7684\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\uff0c\u53d1\u5e03\u63d0\u4ea4\u7ed9SEC\u7684\u542b\u5ba1\u8ba1\u62a5\u544a\u7684\u5e74\u5ea6\u62a5\u544a\uff0c\u76ee\u524d\u672a\u63a5\u53d7PCAOB\u7684\u68c0\u67e5\uff0c\u56e0\u6b64\u9884\u8ba1\u4e86\u4f1a\u88abPCAOB\u8ba4\u5b9a\u3002<\/p>\n<p>\u81ea2010\u5e7411\u670810\u65e5\u8d77\uff0c\u516c\u53f8\u7684\u7f8e\u56fd\u5b58\u6258\u80a1\uff08\u4e24\u80a1\u5b58\u6258\u80a1\u4efd\u4ee3\u8868\u8be5\u516c\u53f8\u7684\u4e00\u80a1A\u7c7b\u666e\u901a\u80a1\uff09\u5df2\u5728\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u4ee5\u201cNOAH\u201d\u7684\u4ee3\u53f7\u4e0a\u5e02\u3002<\/p>\n<p>\u516c\u53f8\u5c06\u5728\u9002\u5f53\u7684\u6cd5\u5f8b\u987e\u95ee\u548c\u6307\u5bfc\u4e0b\uff0c\u7ee7\u7eed\u76d1\u63a7\u5e02\u573a\u53d1\u5c55\u5e76\u8bc4\u4f30\u6240\u6709\u6218\u7565\u9009\u62e9\uff0c\u5e76\u6307\u51fa\uff0c\u6b64\u6b21\u66f4\u65b0\u4e0d\u4f1a\u5bf9\u4e1a\u52a1\u8fd0\u8425\u4ea7\u751f\u5f71\u54cd\u3002<\/p>\n<p><b>\u5173\u4e8e\u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8&nbsp;<\/b><\/p>\n<p>\u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8\uff08\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u4ee3\u7801\uff1aNOAH\uff09\u662f\u4e2d\u56fd\u9886\u5148\u7684\u8d22\u5bcc\u7ba1\u7406\u670d\u52a1\u63d0\u4f9b\u5546\uff0c\u4e3b\u8981\u4e3a\u9ad8\u51c0\u503c\u6295\u8d44 \u8005\u63d0\u4f9b\u7efc\u5408\u7684\u4e00\u7ad9\u5f0f\u5168\u7403\u6295\u8d44\u548c\u8d44\u4ea7\u914d\u7f6e\u54a8\u8be2\u670d\u52a1\u30022021 \u5e74\u5168\u5e74\uff0c\u8bfa\u4e9a\u5206\u9500\u7684\u6295\u8d44\u4ea7\u54c1\u603b\u989d\u4e3a 972 \u4ebf\u5143\u4eba\u6c11 \u5e01\uff08\u7ea6\u5408 153 \u4ebf\u7f8e\u5143\uff09\u3002\u622a\u81f3 2021 \u5e74 12 \u6708 31 \u65e5\uff0c\u8bfa\u4e9a\u901a\u8fc7\u65d7\u4e0b\u6b4c\u6590\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u7ba1\u7406\u7684\u8d44\u4ea7\u89c4\u6a21\u4e3a 1560 \u4ebf \u5143\u4eba\u6c11\u5e01\uff08\u7ea6\u5408 245 \u4ebf\u7f8e\u5143\uff09\u3002 \u8bfa\u4e9a\u7684\u8d22\u5bcc\u7ba1\u7406\u677f\u5757\u81f4\u529b\u4e8e\u5206\u9500\u4ee5\u4eba\u6c11\u5e01\u53ca\u5176\u4ed6\u8d27\u5e01\u8ba1\u4ef7\u7684\u591a\u6837\u5316\u7684\u6295\u8d44\u4ea7\u54c1\u3002\u8bfa\u4e9a\u901a\u8fc7\u5206\u5e03\u4e8e\u4e2d\u56fd\u5927\u9646 84 \u4e2a\u57ce\u5e02\u7684 1,316 \u540d\u7406\u8d22\u5e08\u5411\u5ba2\u6237\u63d0\u4f9b\u91cf\u8eab\u5b9a\u5236\u7684\u91d1\u878d\u89e3\u51b3\u65b9\u6848\uff0c\u5e76\u901a\u8fc7\u5176\u4f4d\u4e8e\u4e2d\u56fd\u9999\u6e2f\u3001\u4e2d\u56fd\u53f0\u6e7e\u3001\u7ebd\u7ea6\u3001\u7845\u8c37\u548c\u65b0\u52a0\u5761\u7684\u529e\u4e8b\u5904\u6ee1\u8db3\u5ba2\u6237\u7684\u56fd\u9645\u6295\u8d44\u9700\u6c42\u3002\u6b4c\u6590\u8d44\u4ea7\u662f\u4e2d\u56fd\u9886\u5148\u7684\u591a\u5143\u5316\u8d44\u4ea7\u7ba1\u7406\u4eba\uff0c\u5176\u5f00\u53d1\u548c\u7ba1\u7406\u7684\u8d44\u4ea7\u5305\u62ec\u4ee5\u4eba\u6c11\u5e01\u53ca\u5176\u4ed6\u8d27\u5e01\u8ba1\u4ef7\u7684\u79c1\u52df\u80a1\u6743\u3001\u516c\u5f00\u5e02\u573a\u3001\u623f\u5730\u4ea7\u3001\u53ca\u591a\u7b56\u7565\u6295\u8d44\u3002\u6b64\u5916\uff0c\u516c\u53f8\u8fd8\u63d0\u4f9b\u5176\u4ed6\u670d\u52a1\u3002&nbsp;<\/p>\n<p>\u5982\u9700\u4e86\u89e3\u66f4\u591a\u4fe1\u606f\uff0c\u8bf7\u8bbf\u95ee\u8bfa\u4e9a\u7f51\u7ad9 ir.noahgroup.com\u3002&nbsp;<\/p>\n<p><b>\u5b89\u5168\u6e2f\u58f0\u660e&nbsp;<\/b><\/p>\n<p>\u672c\u516c\u544a\u4e3a\u82f1\u6587\u7248\u516c\u544a\u7684\u7ffb\u8bd1\u7248\u672c\uff0c\u516c\u544a\u5185\u5bb9\u4ee5\u82f1\u6587\u7248\u672c\u4e3a\u51c6\u3002\u672c\u516c\u544a\u5305\u542b\u524d\u77bb\u6027\u9648\u8ff0\u3002\u8be5\u7b49\u9648\u8ff0\u4e43\u6839\u636e 1995 \u5e74\u7f8e\u56fd\u79c1\u4eba\u8bc1\u5238\u8bc9\u8bbc\u6539\u9769\u6cd5\u6848 (U.S. Private Securities Litigation Reform Act of 1995) \u4e2d\u7684\u201c\u5b89\u5168\u6e2f\u201d\u89c4\u5b9a\u4f5c\u51fa\u3002\u8be5\u7b49\u524d\u77bb\u6027\u9648\u8ff0\u53ef\u901a\u8fc7\u201c\u5c06\u8981\u201d\u3001\u201c\u9884\u8ba1\u201d\u3001\u201c\u9884\u671f\u201d\u3001\u201c\u672a\u6765\u201d\u3001\u201c\u62df\u201d\u3001\u201c\u8ba1\u5212\u201d\u3001\u201c\u76f8\u4fe1\u201d\u3001\u201c\u4f30\u8ba1\u201d\u3001\u201c\u6709\u4fe1\u5fc3\u201d\u53ca\u5176\u4ed6\u7c7b\u4f3c\u9648\u8ff0\u7b49\u7528\u8bed\u8bc6\u522b\u3002\u5176\u4e2d\u5305\u62ec\uff0c\u672c\u516c \u544a\u4e2d\u7684 2021 \u5e74\u5c55\u671b\u53ca\u7ba1\u7406\u5c42\u7684\u5f15\u8ff0\uff0c\u4ee5\u53ca\u8bfa\u4e9a\u7684\u6218\u7565\u53ca\u8fd0\u8425\u8ba1\u5212\uff08\u5305\u62ec\u524d\u77bb\u6027\u9648\u8ff0\uff09\u3002\u8bfa\u4e9a\u5728\u5411\u7f8e\u56fd\u8bc1\u5238\u4ea4 \u6613\u59d4\u5458\u4f1a\u63d0\u4ea4\u7684\u5b9a\u671f\u62a5\u544a\u3001\u5411\u80a1\u4e1c\u63d0\u4ea4\u7684\u5e74\u5ea6\u62a5\u544a\u3001\u65b0\u95fb\u53d1\u5e03\u3001\u4ee5\u53ca\u5728\u5176\u7ba1\u7406\u4eba\u5458\u3001\u8463\u4e8b\u6216\u96c7\u5458\u5411\u7b2c\u4e09\u65b9\u63d0 \u4f9b\u7684\u4e66\u9762\u6750\u6599\u53ca\u53e3\u5934\u9648\u8ff0\u4e2d\uff0c\u4ea6\u53ef\u80fd\u4f5c\u51fa\u4e66\u9762\u6216\u53e3\u5934\u7684\u524d\u77bb\u6027\u9648\u8ff0\u3002\u6240\u6709\u5e76\u975e\u5386\u53f2\u4e8b\u5b9e\u7684\u9648\u8ff0\uff0c\u5305\u62ec\u5bf9\u8bfa\u4e9a \u7684\u770b\u6cd5\u53ca\u9884\u671f\u7684\u9648\u8ff0\uff0c\u5747\u5c5e\u524d\u77bb\u6027\u9648\u8ff0\u3002\u524d\u77bb\u6027\u9648\u8ff0\u6d89\u53ca\u5185\u5728\u98ce\u9669\u53ca\u4e0d\u786e\u5b9a\u6027\u56e0\u7d20\u3002\u591a\u9879\u56e0\u7d20\u53ef\u5bfc\u81f4\u8bfa\u4e9a\u7684 \u5b9e\u9645\u7ed3\u679c\u4e0e\u4efb\u4f55\u524d\u77bb\u6027\u9648\u8ff0\u4e2d\u6240\u8f7d\u7ed3\u679c\u6709\u91cd\u5927\u5dee\u5f02\uff0c\u5305\u62ec\u4f46\u4e0d\u9650\u4e8e\u4ee5\u4e0b\u5404\u9879\uff1a\u76ee\u6807\u53ca\u7b56\u7565\uff1b\u672a\u6765\u4e1a\u52a1\u53d1\u5c55\u3001 \u8d22\u52a1\u72b6\u51b5\u53ca\u7ecf\u8425\u4e1a\u7ee9\uff1b\u6709\u5173\u4e2d\u56fd\u53ca\u56fd\u9645\u8d22\u5bcc\u7ba1\u7406\u5e02\u573a\u589e\u957f\u7684\u9884\u671f\uff1b\u6709\u5173\u6240\u5206\u9500\u4ea7\u54c1\u7684\u9700\u6c42\u53ca\u5e02\u573a\u63a5\u7eb3\u5ea6\u7684\u9884 \u671f\uff1b\u5411\u8bfa\u4e9a\u6295\u8d44\u8005\u5206\u9500\u7684\u91d1\u878d\u4ea7\u54c1\u76f8\u5173\u7684\u6295\u8d44\u98ce\u9669\uff0c\u5305\u62ec\u4ea4\u6613\u5bf9\u624b\u8fdd\u7ea6\u7684\u98ce\u9669\u6216\u56e0\u5e02\u573a\u6216\u4e1a\u52a1\u72b6\u51b5\u6216\u4ea4\u6613\u5bf9 \u624b\u4e0d\u5f53\u884c\u4e3a\u800c\u5bfc\u81f4\u4ef7\u503c\u635f\u5931\u7684\u98ce\u9669\uff1b\u6709\u5173\u7ef4\u6301\u53ca\u52a0\u5f3a\u4e0e\u4e3b\u8981\u5ba2\u6237\u5173\u7cfb\u7684\u9884\u671f\uff1b\u6240\u5728\u884c\u4e1a\u6709\u5173\u7684\u653f\u5e9c\u653f\u7b56\u53ca\u6cd5 \u89c4\uff1b\u5438\u5f15\u53ca\u4fdd\u7559\u9ad8\u8d28\u96c7\u5458\u7684\u80fd\u529b\uff1b\u83b7\u53d6\u5e02\u573a\u8d8b\u52bf\u53ca\u6280\u672f\u53d1\u5c55\u6700\u65b0\u8d44\u8baf\u7684\u80fd\u529b\uff1b\u6295\u8d44\u7814\u53d1\u4ee5\u63d0\u5347\u4ea7\u54c1\u9009\u62e9\u4e0e\u670d \u52a1\u7684\u8ba1\u5212\uff1b\u4e8e\u4e2d\u56fd\u53ca\u56fd\u9645\u884c\u4e1a\u7684\u7ade\u4e89\uff1b\u4e2d\u56fd\u6574\u4f53\u7ecf\u6d4e\u53ca\u4e1a\u52a1\u72b6\u51b5\uff1b\u53ca\u6709\u6548\u4fdd\u62a4\u81ea\u8eab\u77e5\u8bc6\u4ea7\u6743\u53ca\u4e0d\u4fb5\u72af\u4ed6\u4eba\u77e5 \u8bc6\u4ea7\u6743\u7684\u80fd\u529b\u3002\u6709\u5173\u4e0a\u8ff0\u98ce\u9669\u53ca\u5176 \u4ed6\u98ce\u9669\u7684\u8be6\u7ec6\u8d44\u6599\u8f7d\u4e8e\u8bfa\u4e9a\u5411\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\u63d0\u4ea4\u7684\u6863\u6848\u4e2d\uff0c\u5305\u62ec 20-F \u8868\u683c\u6240\u8f7d\u5e74\u62a5\u3002\u9664\u9002\u7528\u6cd5\u5f8b\u53e6\u6709 \u8981\u6c42\u5916\uff0c\u672c\u516c\u544a\u53ca\u5176\u9644\u4ef6\u63d0\u4f9b\u7684\u6240\u6709\u8d44\u6599\u622a\u81f3\u672c\u516c\u544a\u53d1\u5e03\u65e5\u671f\u6709\u6548\uff0c\u8bfa \u4e9a\u6982\u4e0d\u5c31\u56e0\u65b0\u7684\u8d44\u6599\u3001\u672a\u6765\u4e8b\u4ef6\u6216\u5176 \u4ed6\u4e8b\u9879\u987b\u66f4\u65b0\u4efb\u4f55\u6709\u5173\u8d44\u6599\uff08\u5305\u62ec\u524d\u77bb\u6027\u9648\u8ff0\uff09\u627f\u62c5\u4efb\u4f55\u8d23\u4efb\u3002<\/p>\n","protected":false},"excerpt":{"rendered":"<p>\u4e0a\u6d772022\u5e744\u670813\u65e5 \/\u7f8e\u901a\u793e\/ &#8212; \u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8\uff08\u4ee5\u4e0b\u7b80\u79f0\u201c\u8bfa\u4e9a\u201d\u6216\u201c\u516c\u53f8\u201d\uff09\uff08\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\uff1aNOAH\uff09\uff0c\u4e00\u5bb6\u9886\u5148\u7684\u4e2d\u56fd\u8d22\u5bcc\u7ba1\u7406\u670d\u52a1\u63d0\u4f9b\u5546\uff0c\u4e3b\u8981\u4e3a\u9ad8\u51c0\u503c\u6295\u8d44\u8005\u63d0\u4f9b\u5168\u7403\u6295\u8d44\u548c\u8d44\u4ea7\u914d\u7f6e\u7684\u4e00\u7ad9\u5f0f\u7efc\u5408\u54a8\u8be2\u670d\u52a1\uff0c\u4eca\u5929\u63d0\u4f9b\u4e86\u300a\u5916\u56fd\u516c\u53f8\u95ee\u8d23\u6cd5\u300b\uff08\u201cHFCAA\u201d\uff09\u4e0b\u7684\u6700\u65b0\u72b6\u6001\u3002 2022\u5e744\u670812\u65e5\uff0c\u7f8e\u56fd\u8bc1\u5238\u4ea4\u6613\u59d4\u5458\u4f1a\uff08\u201cSEC\u201d\uff09\u6682\u65f6\u5c06\u516c\u53f8\u547d\u540d\u4e3a\u201c\u59d4\u5458\u4f1a\u8ba4\u5b9a\u7684\u53d1\u884c\u4eba\u201d\uff0c\u5728\u516c\u53f8\u4e8e2022\u5e744\u67086\u65e5\u5411SEC\u63d0\u4ea4\u4e86\u622a\u81f32021\u5e7412\u670831\u65e5\u7684\u5e74\u5ea620F\u4f1a\u8ba1\u62a5\u544a\u540e\uff0c\u8be5\u5e74\u5ea6\u62a5\u544a\u5305\u62ec\u4e86\u7f8e\u56fd\u4e0a\u5e02\u516c\u53f8\u4f1a\u8ba1\u76d1\u7763\u59d4\u5458\u4f1a\uff08PCAOB\uff09\u8ba4\u5b9a\u65e0\u6cd5\u5f7b\u5e95\u68c0\u67e5\u6216\u8c03\u67e5\u7684\u516c\u5171\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\u51fa\u5177\u7684\u5ba1\u8ba1\u62a5\u544a\u3002SEC\u4f30\u8ba1\uff0c\u4f5c\u4e3a2020\u65e5\u5386\u5e74\u5bf9\u6ce8\u518c\u4eba\u5ba1\u67e5\u7684\u4e00\u90e8\u5206\uff0cHFCAA\u53ef\u80fd\u4f1a\u786e\u5b9a273\u540d\u6ce8\u518c\u4eba\u3002 \u516c\u53f8\u4e86\u89e3SEC\u662f\u6839\u636eHFCAA\u505a\u51fa\u4e86\u8fd9\u6837\u7684\u8ba4\u5b9a\uff0c\u5373\u5982\u679cSEC\u786e\u5b9a\u4e00\u5bb6\u516c\u53f8\u5df2\u7ecf\u63d0\u4ea4\u4e86\u4e00\u5bb6\u6ce8\u518c\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\u51fa\u5177\u7684\u5ba1\u8ba1\u62a5\u544a\uff0c\u82e5\u8be5\u62a5\u544a\u4e0d\u80fd\u57282021\u5e74\u8d77\u3001\u8fde\u7eed\u4e09\u5e74\u88abPCAOB\u68c0\u67e5\u6216\u8c03\u67e5\uff0cSEC\u5e94\u7981\u6b62\u5176\u80a1\u7968\u6216\u7f8e\u56fd\u5b58\u6258\u80a1\u7968\uff08\u201cADS\u201d\uff09\u5728\u7f8e\u56fd\u7684\u56fd\u5bb6\u8bc1\u5238\u4ea4\u6613\u6240\u6216\u573a\u5916\u4ea4\u6613\u5e02\u573a\u4e0a\u4ea4\u6613\u3002\u6839\u636eHFCAA\u7684\u73b0\u884c\u6761\u6b3e\uff0c\u516c\u53f8\u7684\u7f8e\u56fd\u5b58\u6258\u80a1\u7968\u5c06\u4e8e2024\u5e74\u521d\u4ece\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u9000\u5e02\uff0c\u9664\u975eHFCAA\u88ab\u4fee\u8ba2\u4ee5\u6392\u9664\u516c\u53f8\uff0c\u6216\u8005PCAOB\u80fd\u591f\u5728\u89c4\u5b9a\u7684\u65f6\u95f4\u8303\u56f4\u5185\u5bf9\u516c\u53f8\u7684\u5ba1\u8ba1\u5e08\u8fdb\u884c\u5168\u9762\u68c0\u67e5\u3002\u516c\u53f8\u6b64\u524d\u66fe\u62ab\u9732\uff0c\u5176\u5ba1\u8ba1\u5e08\u662f\u72ec\u7acb\u6ce8\u518c\u7684\u4f1a\u8ba1\u5e08\u4e8b\u52a1\u6240\uff0c\u53d1\u5e03\u63d0\u4ea4\u7ed9SEC\u7684\u542b\u5ba1\u8ba1\u62a5\u544a\u7684\u5e74\u5ea6\u62a5\u544a\uff0c\u76ee\u524d\u672a\u63a5\u53d7PCAOB\u7684\u68c0\u67e5\uff0c\u56e0\u6b64\u9884\u8ba1\u4e86\u4f1a\u88abPCAOB\u8ba4\u5b9a\u3002 \u81ea2010\u5e7411\u670810\u65e5\u8d77\uff0c\u516c\u53f8\u7684\u7f8e\u56fd\u5b58\u6258\u80a1\uff08\u4e24\u80a1\u5b58\u6258\u80a1\u4efd\u4ee3\u8868\u8be5\u516c\u53f8\u7684\u4e00\u80a1A\u7c7b\u666e\u901a\u80a1\uff09\u5df2\u5728\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u4ee5\u201cNOAH\u201d\u7684\u4ee3\u53f7\u4e0a\u5e02\u3002 \u516c\u53f8\u5c06\u5728\u9002\u5f53\u7684\u6cd5\u5f8b\u987e\u95ee\u548c\u6307\u5bfc\u4e0b\uff0c\u7ee7\u7eed\u76d1\u63a7\u5e02\u573a\u53d1\u5c55\u5e76\u8bc4\u4f30\u6240\u6709\u6218\u7565\u9009\u62e9\uff0c\u5e76\u6307\u51fa\uff0c\u6b64\u6b21\u66f4\u65b0\u4e0d\u4f1a\u5bf9\u4e1a\u52a1\u8fd0\u8425\u4ea7\u751f\u5f71\u54cd\u3002 \u5173\u4e8e\u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8&nbsp; \u8bfa\u4e9a\u63a7\u80a1\u6709\u9650\u516c\u53f8\uff08\u7ebd\u7ea6\u8bc1\u5238\u4ea4\u6613\u6240\u4ee3\u7801\uff1aNOAH\uff09\u662f\u4e2d\u56fd\u9886\u5148\u7684\u8d22\u5bcc\u7ba1\u7406\u670d\u52a1\u63d0\u4f9b\u5546\uff0c\u4e3b\u8981\u4e3a\u9ad8\u51c0\u503c\u6295\u8d44 \u8005\u63d0\u4f9b\u7efc\u5408\u7684\u4e00\u7ad9\u5f0f\u5168\u7403\u6295\u8d44\u548c\u8d44\u4ea7\u914d\u7f6e\u54a8\u8be2\u670d\u52a1\u30022021 \u5e74\u5168\u5e74\uff0c\u8bfa\u4e9a\u5206\u9500\u7684\u6295\u8d44\u4ea7\u54c1\u603b\u989d\u4e3a 972 \u4ebf\u5143\u4eba\u6c11 \u5e01\uff08\u7ea6\u5408 153 \u4ebf\u7f8e\u5143\uff09\u3002\u622a\u81f3 2021 \u5e74 12 \u6708 31 \u65e5\uff0c\u8bfa\u4e9a\u901a\u8fc7\u65d7\u4e0b\u6b4c\u6590\u8d44\u4ea7\u7ba1\u7406\u516c\u53f8\u7ba1\u7406\u7684\u8d44\u4ea7\u89c4\u6a21\u4e3a 1560 \u4ebf \u5143\u4eba\u6c11\u5e01\uff08\u7ea6\u5408 245 \u4ebf\u7f8e\u5143\uff09\u3002 \u8bfa\u4e9a\u7684\u8d22\u5bcc\u7ba1\u7406\u677f\u5757\u81f4\u529b\u4e8e\u5206\u9500\u4ee5\u4eba\u6c11\u5e01\u53ca\u5176\u4ed6\u8d27\u5e01\u8ba1\u4ef7\u7684\u591a\u6837\u5316\u7684\u6295\u8d44\u4ea7\u54c1\u3002\u8bfa\u4e9a\u901a\u8fc7\u5206\u5e03\u4e8e\u4e2d\u56fd\u5927\u9646 84 \u4e2a\u57ce\u5e02\u7684 1,316 \u540d\u7406\u8d22\u5e08\u5411\u5ba2\u6237\u63d0\u4f9b\u91cf\u8eab\u5b9a\u5236\u7684\u91d1\u878d\u89e3\u51b3\u65b9\u6848\uff0c\u5e76\u901a\u8fc7\u5176\u4f4d\u4e8e\u4e2d\u56fd\u9999\u6e2f\u3001\u4e2d\u56fd\u53f0\u6e7e\u3001\u7ebd\u7ea6\u3001\u7845\u8c37\u548c\u65b0\u52a0\u5761\u7684\u529e\u4e8b\u5904\u6ee1\u8db3\u5ba2\u6237\u7684\u56fd\u9645\u6295\u8d44\u9700\u6c42\u3002\u6b4c\u6590\u8d44\u4ea7\u662f\u4e2d\u56fd\u9886\u5148\u7684\u591a\u5143\u5316\u8d44\u4ea7\u7ba1\u7406\u4eba\uff0c\u5176\u5f00\u53d1\u548c\u7ba1\u7406\u7684\u8d44\u4ea7\u5305\u62ec\u4ee5\u4eba\u6c11\u5e01\u53ca\u5176\u4ed6\u8d27\u5e01\u8ba1\u4ef7\u7684\u79c1\u52df\u80a1\u6743\u3001\u516c\u5f00\u5e02\u573a\u3001\u623f\u5730\u4ea7\u3001\u53ca\u591a\u7b56\u7565\u6295\u8d44\u3002\u6b64\u5916\uff0c\u516c\u53f8\u8fd8\u63d0\u4f9b\u5176\u4ed6\u670d\u52a1\u3002&nbsp; \u5982\u9700\u4e86\u89e3\u66f4\u591a\u4fe1\u606f\uff0c\u8bf7\u8bbf\u95ee\u8bfa\u4e9a\u7f51\u7ad9 ir.noahgroup.com\u3002&nbsp; \u5b89\u5168\u6e2f\u58f0\u660e&nbsp; \u672c\u516c\u544a\u4e3a\u82f1\u6587\u7248\u516c\u544a\u7684\u7ffb\u8bd1\u7248\u672c\uff0c\u516c\u544a\u5185\u5bb9\u4ee5\u82f1\u6587\u7248\u672c\u4e3a\u51c6\u3002\u672c\u516c\u544a\u5305\u542b\u524d\u77bb\u6027\u9648\u8ff0\u3002\u8be5\u7b49\u9648\u8ff0\u4e43\u6839\u636e 1995 \u5e74\u7f8e\u56fd\u79c1\u4eba\u8bc1\u5238\u8bc9\u8bbc\u6539\u9769\u6cd5\u6848 (U.S. Private Securities Litigation Reform Act of 1995) \u4e2d\u7684\u201c\u5b89\u5168\u6e2f\u201d\u89c4\u5b9a\u4f5c\u51fa\u3002\u8be5\u7b49\u524d\u77bb\u6027\u9648\u8ff0\u53ef\u901a\u8fc7\u201c\u5c06\u8981\u201d\u3001\u201c\u9884\u8ba1\u201d\u3001\u201c\u9884\u671f\u201d\u3001\u201c\u672a\u6765\u201d\u3001\u201c\u62df\u201d\u3001\u201c\u8ba1\u5212\u201d\u3001\u201c\u76f8\u4fe1\u201d\u3001\u201c\u4f30\u8ba1\u201d\u3001\u201c\u6709\u4fe1\u5fc3\u201d\u53ca\u5176\u4ed6\u7c7b\u4f3c\u9648\u8ff0\u7b49\u7528\u8bed\u8bc6\u522b\u3002\u5176\u4e2d\u5305\u62ec\uff0c\u672c\u516c \u544a\u4e2d\u7684 2021 \u5e74\u5c55\u671b\u53ca\u7ba1\u7406\u5c42\u7684\u5f15\u8ff0\uff0c\u4ee5\u53ca\u8bfa\u4e9a\u7684\u6218\u7565\u53ca\u8fd0\u8425\u8ba1\u5212\uff08\u5305\u62ec\u524d\u77bb\u6027\u9648\u8ff0\uff09\u3002\u8bfa\u4e9a\u5728\u5411\u7f8e\u56fd\u8bc1\u5238\u4ea4 \u6613\u59d4\u5458\u4f1a\u63d0\u4ea4\u7684\u5b9a\u671f\u62a5\u544a\u3001\u5411\u80a1\u4e1c\u63d0\u4ea4\u7684\u5e74\u5ea6\u62a5\u544a\u3001\u65b0\u95fb\u53d1\u5e03\u3001\u4ee5\u53ca\u5728\u5176\u7ba1\u7406\u4eba\u5458\u3001\u8463\u4e8b\u6216\u96c7\u5458\u5411\u7b2c\u4e09\u65b9\u63d0 \u4f9b\u7684\u4e66\u9762\u6750\u6599\u53ca\u53e3\u5934\u9648\u8ff0\u4e2d\uff0c\u4ea6\u53ef\u80fd\u4f5c\u51fa\u4e66\u9762\u6216\u53e3\u5934\u7684\u524d\u77bb\u6027\u9648\u8ff0\u3002\u6240\u6709\u5e76\u975e\u5386\u53f2\u4e8b\u5b9e\u7684\u9648\u8ff0\uff0c\u5305\u62ec\u5bf9\u8bfa\u4e9a \u7684\u770b\u6cd5\u53ca\u9884\u671f\u7684\u9648\u8ff0\uff0c\u5747\u5c5e\u524d\u77bb\u6027\u9648\u8ff0\u3002\u524d\u77bb\u6027\u9648\u8ff0\u6d89\u53ca\u5185\u5728\u98ce\u9669\u53ca\u4e0d\u786e\u5b9a\u6027\u56e0\u7d20\u3002\u591a\u9879\u56e0\u7d20\u53ef\u5bfc\u81f4\u8bfa\u4e9a\u7684 \u5b9e\u9645\u7ed3\u679c\u4e0e\u4efb\u4f55\u524d\u77bb\u6027\u9648\u8ff0\u4e2d\u6240\u8f7d\u7ed3\u679c\u6709\u91cd\u5927\u5dee\u5f02\uff0c\u5305\u62ec\u4f46\u4e0d\u9650\u4e8e\u4ee5\u4e0b\u5404\u9879\uff1a\u76ee\u6807\u53ca\u7b56\u7565\uff1b\u672a\u6765\u4e1a\u52a1\u53d1\u5c55\u3001&hellip; <a class=\"read-more\" href=\"https:\/\/www.xinwengao.com\/cn\/pr\/2022041312190067492\">Read More<\/a><\/p>\n","protected":false},"author":556,"featured_media":8278,"comment_status":"close","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[1965],"tags":[],"class_list":["post-67492","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-partnerships"],"amp_enabled":true,"_links":{"self":[{"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/posts\/67492","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/users\/556"}],"replies":[{"embeddable":true,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/comments?post=67492"}],"version-history":[{"count":1,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/posts\/67492\/revisions"}],"predecessor-version":[{"id":67493,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/posts\/67492\/revisions\/67493"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/media\/8278"}],"wp:attachment":[{"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/media?parent=67492"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/categories?post=67492"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.xinwengao.com\/cn\/wp-json\/wp\/v2\/tags?post=67492"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}