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信披违规成监管焦点 深交所发出6份监管函

2017-09-23 06:57:08   中国经济网

■本报记者 姜 楠

9月15日至9月21日的五个交易日中,深交所对1宗违规行为进行纪律处分,对6宗违规行为发出监管函,其中5宗涉及信息披露违规、1宗涉及买卖股票违规,共发出重组问询函3份、关注函8份、其他函件59份。本周五个交易日中,深交所共对34起证券异常交易行为进行调查,涉及盘中拉抬股价、盘中打压股价等异常交易情形,并及时采取了监管措施。共对6起上市公司重大事项进行核查,并上报证监会1起涉嫌违法违规案件线索。

上文提及的1宗违规行为纪律处分是,东莞勤上光电股份有限公司在2016年第三季度报告中披露的2016年净利润预计数据、在2016年业绩快报中披露的净利润均不准确,与实际数据差异较大且公司盈亏性质发生变化,公司未在规定时间内对业绩预告、业绩快报做出修正。根据《股票上市规则(2014年修订)》的相关规定,深交所对东莞勤上光电股份有限公司、董事长兼总经理陈永洪、财务总监邓军鸿予以公开谴责的处分。

5宗涉及信息披露违规中,一是德展大健康股份有限公司的股东新疆梧桐树股权投资有限公司质押其所持上市公司股份占总股本的5.3691%,该股东未及时履行相关信息披露义务和告知义务;二是焦作万方铝业股份有限公司于2016年6月计提辞退福利7370.43万元,影响公司归属于上市公司股东的净利润5528.05万元,公司未按照规定及时履行信息披露义务;三是福安药业(集团)股份有限公司未按照《深圳证券交易所创业板行业信息披露指引第2号》的要求及时披露药品注册信息;四是北京光环新网科技股份有限公司全资子公司北京中金云网科技有限公司累计向公司关联方中金数据系统有限公司借款4777.40万元,以及分别与公司关联方中金数据、烟台中金数据系统有限公司累计发生日常关联交易2764.81万元、1201.94万元,公司未按规定对上述关联交易履行审议程序与信息披露义务;五是中航三鑫股份有限公司控股子公司对外担保事项未按规定及时履行审议程序及信息披露义务。

1宗涉及买卖股票违规是,深圳拓邦股份有限公司董事兼副总经理买卖公司股票行为构成短线交易。

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