中源協和(600645.SH):實控人李德福未忠實、勤勉履行職責致公司未及時披露該筆資金佔用 收到警示函
格隆匯 9 月 10日丨中源協和(600645.SH)公佈,公司實際控制人、副董事長李德福先生於2020年9月10日收到《中國證券監督管理委員會天津監管局行政監管措施決定書》(津證監措施〔2020〕18號)——關於對李德福採取出具警示函措施的決定,現將《警示函》主要內容公告如下:
李德福:
2020年4月27日,你作為中源協和細胞基因工程股份有限公司(以下簡稱中源協和)實控人、副董事長、時任公司總經理,未履行公司決策流程和資金劃撥審批流程,將全資子公司上海執誠生物科技有限公司帳上2000萬元資金劃給你本人實際控制的深圳市中源協和生物治療公益基金會(以下簡稱基金會),該筆劃款金額佔中源協和2019年經審計淨資產的0.56%,構成實際控制人非經營性資金佔用,你未忠實、勤勉履行職責,導致中源協和未及時披露該筆資金佔用,上述行為違反了《關於規範上市公司與關聯方資金往來及上市公司對外擔保若干問題的通知》(證監發〔2003〕56號)第一條以及《上市公司信息披露管理辦法》(證監會令第40號)第三條的規定。
事後,你本人出具了承諾書,承諾全力督促基金會在2020年6月30日前足額歸還並承擔個人無限連帶保證責任。相關款項已於2020年6月28日歸還。
根據《上市公司信息披露管理辦法》第五十九條規定,我局決定對你採取出具警示函的行政監管措施。你應加強證券法規學習,依法、守法切實維護上市公司和全體投資者合法權益,杜絕此類違規行為發生。
如果對本監督管理措施不服,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。
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