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中證監決定責令寧波中百(600857.SH)改正給予警告 並處以60萬元的罰款
格隆匯 11-19 18:51

格隆匯11月19日丨寧波中百(600857.SH)公佈,20191118日,公司收到中國證監會的《行政處罰決定書》(【2019123號),處罰結果如下:

根據當事人違法行為的事實、性質、情節與社會危害程度,依據《證券法》第一百九十三條第一的規定中國證監會決定:

一、責令寧波中百股份有限公司改正給予警告並處以60萬元的罰款

二、對龔東昇給予警告並處以30萬元的罰款;

三、對胡慷給予警告並處以20萬元的罰款。

上述當事人應自收到本處罰決定書之日起15日內,將罰匯交中國證券監督管理委員會(財政匯專户)開户銀行中信銀行北京分行營業部:7111010189800000162,由該行直接上國庫,並將注有當事人名稱的付款憑證複印件送中國證券監督管理委員會稽查局備案。當事人如果對本處罰決定不服,可在收到本處罰決定書之日起60日內向中國證券監督管理委員會申請行政複議也可在收到本處罰決定書之日起6個月內直接向有管轄權的人民法院提起行政訴訟。複議和訴訟期間,上述決定不停止執行。

公司將不斷建立健全治理體制強化內部控制,依法依規做好信息披露工作,此類事情再次發生同時,公司對廣州仲裁委做出仲裁裁決仍存異議,將繼續採取法律措施,積極維護公司和廣大投資者的合法權益

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