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中聯重科(01157.HK):近五年不存在被證券監管部門和深交所處罰情形
格隆匯 09-29 21:43

格隆匯 9 月 29日丨中聯重科(01157.HK)公告,關於最近五年被證券監管部門和交易所處罰或採取監管措施的情況以及相應整改情況。鑑於公司擬向中國證券監督管理委員會申請非公開發行股票,根據相關要求,現將公司最近五年被證券監管部門和深圳證券交易所採取監管措施或處罰的情況及相應的整改情況公告如下:

一、最近五年被證券監管部門和交易所採取處罰的情況經自查,公司最近五年不存在被證券監管部門和深圳證券交易所採取處罰的情形。

二、最近五年被證券監管部門和交易所採取監管措施的情況及整改措施

經自查,公司最近五年共收到深圳證券交易所出具的監管函1份,相關監管措施及公司相應採取的整改措施情況具體如下:

1、監管函的主要內容2017年7月20日,公司收到深圳證券交易所《關於對中聯重科股份有限公司的監管函》(公司部監管函[2017]第55號)。監管函指出公司2016年度收到部分政府補助時未及時按照《股票上市規則》相關規定履行信息披露義務,遲至2017年3月31日才在2016年年報中披露。

2、整改情況公司已組織公司有關部門對違規事實進行了自查,對相關業務人員、部門在重大事項信息的溝通與傳遞及披露等工作流程未按照深圳證券交易所信息披露規則及公司信息披露管理制度實施的情況進行了嚴肅批評和處分。公司已要求相關業務人員及主要負責人深入學習相關法律法規和規範性文件,認真和及時地履行信息披露義務。

除上述情形以外,公司最近五年不存在其他被證券監管部門和深圳證券交易所採取監管措施及整改的情況。

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