瑞達期貨(002961.SZ):收到浙江證監局警示函
格隆匯 6 月 28日丨瑞達期貨(002961.SZ)公佈,公司於2020年6月23日收到中國證券監督管理委員會浙江監管局下發的《關於對瑞達期貨股份有限公司採取出具警示函措施的決定》([2020]48號),主要內容如下:
“瑞達期貨股份有限公司:
經查,你公司於2019年12月24日召開總經理辦公會議,2019年12月26日發佈任免文件,免去周某台州營業部負責人職務,任用阮某為台州營業部負責人。你公司於2020年3月19日向我局報送相關材料。
上述行為違反了《期貨公司董事、監事和高級管理人員任職資格管理辦法》第三十條、第三十一條及《期貨公司監督管理辦法》第一百零二條的規定。根據《期貨公司監督管理辦法》第一百零九條的規定,我局決定對你公司採取出具警示函的監督管理措施,並記入證券期貨市場誠信檔案。你公司應加強相關法律法規學習,提高規範運作意識,採取切實有效措施杜絕此類違規行為再次發生。你公司應當於2020年7月10日前向我局提交書面報告。
如果對本監督管理措施不服的,可以在收到本決定書之日起60日內向中國證券監督管理委員會提出行政複議申請,也可以在收到本決定書之日起6個月內向有管轄權的人民法院提起訴訟,複議與訴訟期間,上述監督管理措施不停止執行。”
對於浙江監管局指出的問題公司高度重視,認真查找原因,深刻吸取教訓。公司將以此為鑑,及時組織董事、監事、高級管理人員和相關負責人員進行培訓,進一步加強對包括《期貨公司董事、監事和高級管理人員任職資格管理辦法》、《期貨公司監督管理辦法》在內的相關法律法規、規範性文件的學習,提高對上述法規制度的理解和執行,及時進行整改,加強內部控制,完善相關信息的傳遞上報機制,實現信息及時互通、報送,不斷提高規範運作水平,切實維護全體股東權益。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.