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证监会:对义煤集团原董事长武予鲁进行市场禁入

2017-05-08 16:02:00   

以上事实,由有关非公开发行股票过程中报送的相关材料、公告,当事人签署的有关文件,当事人询问笔录,银行转账流水等证据证明,足以认定。

我会认为,大有能源在2012年非公开发行股票过程中,未披露青海省木里矿区资源整合政策可能对天峻义海聚乎更一采矿权带来的风险。大有能源上述行为违反了《证券法》第六十三条关于“发行人、上市公司依法披露的信息,必须真实、准确、完整,不得有虚假记载、误导性陈述或者重大遗漏”的规定,构成了《证券法》第一百九十三条第一款“发行人、上市公司或者其他信息披露义务人未按照规定披露信息,或者所披露的信息有虚假记载、误导性陈述或者重大遗漏”所述情形,武予鲁是直接负责的主管人员。义煤集团上述行为构成了《证券法》第一百九十三条第三款“发行人、上市公司或者其他信息披露义务人的控股股东、实际控制人指使从事前两款违法行为”所述情形,武予鲁是直接负责的主管人员。

大有能源未及时披露2013年1月25日天峻义海与木里集团签订合同,约定将其持有的聚乎更一采矿权以零价款转让给木里集团的重大事项,违反了《证券法》第六十七条关于“发生可能对上市公司股票交易价格产生较大影响的重大事件,投资者未得知时,上市公司应当立即将有关该重大事件的情况向国务院证券监督管理机构和证券交易所报送临时报告,并予公告,说明事件的起因、目前的状态和可能产生的法律后果。下列情况为前款所称重大事件:……(三)公司订立重要合同,可能对公司的资产、负债、权益和经营成果产生重要影响”的规定,构成了《证券法》第一百九十三条第一款“发行人、上市公司或者其他信息披露义务人未按照规定披露信息”所述情形。武予鲁是对上述行为直接负责的主管人员。义煤集团上述行为构成了《证券法》第一百九十三条第三款“发行人、上市公司或者其他信息披露义务人的控股股东、实际控制人指使从事前两款违法行为”所述情形,武予鲁是直接负责的主管人员。

综上,武予鲁是大有能源时任董事、义煤集团时任董事长,对大有能源和义煤集团涉案信息披露违法行为起到了指使和核心决策的作用。

根据当事人违法行为的事实、性质、情节与社会危害程度,依据《证券法》第二百三十三条和《证券市场禁入规定》(证监会令第33号)第三条、第五条的规定,我会决定:对武予鲁采取10年证券市场禁入措施,自我会宣布决定之日起,在禁入期间内,不得从事证券业务或者担任上市公司、董事、监事、高级管理人员职务。

上述当事人如果对本决定不服,可在收到本决定书之日起60日内向中国证券监督管理委员会申请行政复议,也可以在收到本市场禁入决定书之日起6个月内直接向有管辖权的人民法院提起行政诉讼。复议和诉讼期间,上述决定不停止执行。

中国证监会     

2017年4月28日    

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