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華鑫股份(600621.SH):收到證監會上海監管局行政處罰決定書
格隆匯 12-25 15:46

格隆匯12月25日丨華鑫股份(600621.SH)公佈,2019年12月24日,華鑫期貨收到中國證券監督管理委員會上海監管局《行政處罰決定書》(滬[2019]16號),內容如下:

"當事人:華鑫期貨有限公司(以下簡稱華鑫期貨),統一社會信用代碼:91310000132110746J,住所:上海市黃浦區福州路666號21、22樓。依據《期貨交易管理條例》的有關規定,我局對華鑫期貨違反期貨法律法規行為進行了立案調查、審理,並依法向當事人告知了作出行政處罰的事實、理由、依據及當事人依法享有的權利。當事人進行了陳述和申辯,未要求聽證。本案現巳調查、審理終結。

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《期貨交易管理條例》(2013年修訂)第六十七條第一敖的規定,我局決定:對華鑫期貨有限公司給予警告,沒收違法所得10,089,097元,並處10,089,097元罰款。

2019年12月24日,李俊收到中國證券監督管理委員會上海監管局《行政處罰決定書》(滬[2019]17號),主要內容如下:當事人:李俊,男,身份證號321119197106160436,1971年6月出生,住址:上海市長寧區。對華鑫期貨的違法違規行為,公司時任總經理、法定代表人、IT治理委員會主席、分管信息技術部的高級管理員人李俊是直接負責的主管人員。

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《期貨交易管理條例(2013年修訂)第六十七條第二款的規定,我局決定:對李俊給予警告,並處3萬元罰款。

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