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錦龍股份(000712.SZ):深圳證監局向中山證券董事會祕書石文燕出具《認定為不適當人選事先告知書》
格隆匯 07-20 20:04

格隆匯7月20日丨錦龍股份(000712.SZ)公佈,公司於2020年6月12日披露了《關於中山證券及相關人員收到監管措施事先告知書的公告》。2020年7月17日,深圳證監局向中山證券董事會祕書石文燕出具了《認定為不適當人選事先告知書》。

經查,深圳證監局發現中山證券存在以下違規行為:未履行公司規定程序,擅自改變公司用章及合同管理審批流程;印章管理混亂,存在公司印章使用審批授權和流程不清晰、未嚴格執行雙人保管要求、未完成審批流程即予用印等情形。

石文燕作為中山證券董祕及時任董事會辦公室主任、分管辦公室的管委會委員,是直接負責的高級管理人員。深圳證監局擬對石文燕作出認定為不適當人選的監督管理措施決定。

對此,石文燕有陳述、申辯的權利。其提出的事實、理由和證據,經複核成立的,深圳證監局將予以採納。如其放棄陳述、申辯的權利,深圳證監局將按照上述事實、理由和證據作出正式的監督管理措施決定。

石文燕需在收到《認定為不適當人選事先告知書》後10個工作日內,將《告知書回執》(註明對上述權利的意見)回覆深圳證監局,逾期則視為放棄上述權利。

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