*ST天馬(002122.SZ):收到中國證監會《行政處罰決定書》
格隆匯11月5日丨ST天馬(002122.SZ)公佈,公司於今日收到中國證監會下發的[2019]120號《行政處罰決定書》。經中國證監會調查,徐茂棟及其控制的企業與天馬股份存在關聯關係;天馬股份未真實披露喀什星河收購天馬股份的資金來源;天馬股份未按規定披露徐茂棟及其控制的企業非經營性佔用資金及關聯交易情況等;天馬股份為徐茂棟控制的企業借款擔保2億元,天馬股份未按規定披露;天馬股份成立基金以收購徐茂棟控制的資產,天馬股份未按規定披露。
證監會決定對天馬股份責令改正、給予警告,並處以60萬元罰款;對徐茂棟給予警告,並處以90萬元罰款,其中作為直接負責的主管人員罰款30萬元,作為實際控制人罰款60萬元;對傅森、陶振武給予警告,並分別處以30萬元罰款;對韋京漢、楊利軍、張志成給予警告,並分別處以20萬元罰款;對馬興法、劉豔秋給予警告,並分別處以5萬元罰款;對丁海勝、趙華、胡亮、嶽基偉、郭鬆波給予警告,並分別處以3萬元罰款。
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