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沃華醫藥(002107.SZ):監事劉文一違規交易吃警示函
格隆匯 08-20 20:41

格隆匯 8 月 20日丨沃華醫藥(002107.SZ)公佈,公司監事劉文一於2020年8月19日收到中國證券監督管理委員會山東監管局(山東證監局)出具的行政監管措施決定書——《關於對劉文一採取出具警示函措施的決定》(【2020】41號,《警示函》),並及時通知了公司。

劉文一作為公司監事,於2020年7月8日通過集中競價交易賣出沃華醫藥股票4000股後,又於當日買入該公司股票4000股,交易金額均為4.6萬元。劉文一的上述行為違反了《證券法》第三十六條第二款、第四十四條第一款的規定。

鑑於劉文一的上述違法行為交易金額較小且未有獲利,綜合考慮違法行為的性質、情節及危害程度,根據《行政處罰法》第二十七條的規定,山東證監局依法不予行政處罰。為維護證券市場交易秩序,根據《證券法》第一百七十條第二款的規定,決定對劉文一採取出具警示函的措施,並記入證券市場誠信檔案。

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