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瑞達期貨(002961.SZ):收到浙江證監局警示函
格隆匯 06-28 20:15

格隆匯 6 月 28日丨瑞達期貨(002961.SZ)公佈,公司2020623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,公司20191224召開總經理辦公20191226發佈任免文件,免去周某台州營業部負責人職務,任用阮某台州營業部負責人。公司2020319我局報送相關材料。

上述行為違反了《期貨公司董事、監事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》一百零二規定。根據《期貨公司監督管理辦法》第一百零條的規定決定對你公司採取出具示函監督管理措施,並記入證券期貨市場誠信檔案。公司加強相關法律學習,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。公司2020710我局提交書面報告。

如果本監督管理措施不服的,可以收到本決定之日60中國證券監督管理委員會提出行政複議申請,可以收到本決定之日6個月管轄權人民法院提起訴訟,複議訴訟期間,上述監督管理措施不停止行。

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。

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