江西銅業(600362.SH)存董祕長期空缺等問題 收到監管措施決定書
格隆匯 11 月 10日丨江西銅業(600362.SH)公佈，公司收到中國證券監督管理委員會江西監管局(以下簡稱江西證監局)對公司下達的《關於對江西銅業股份有限公司採取責令改正措施的決定》(〔2020〕10號)，現將有關情況公告説明如下：
“江西銅業股份有限公司：
經查，我局發現你公司存在以下問題：
一、你公司董事會祕書長期空缺，自2017年1月23日至今，一直由董事長代行董事會祕書職責，違反了《上市公司治理準則》(證監會公告〔2018〕29號)第二十八條、《上市公司信息披露管理辦法》（證監會令第40號）第四十五條的相關規定。
二、你公司存在上市公司所屬工作人員長期從事控股股東的行政、人事工作等情形，違反了《上市公司治理準則》(證監會公告〔2018〕29號)第六十八條的相關規定。
三、你公司內幕信息知情人登記管理不規範，存在個別重大事項未進行內幕信息知情人登記、未製作重大事項進程備忘錄、內幕信息知情人登記表中要件信息缺失等情形，違反了《關於上市公司建立內幕信息知情人登記管理制度的規定》(證監會公告〔2011〕30號)第六條和第十條的相關規定。
根據《上市公司信息披露管理辦法》(證監會令第40號)第五十九條、《上市公司現場檢查辦法》(證監會公告〔2010〕12號)第二十一條、《關於上市公司建立內幕信息知情人登記管理制度的規定》(證監會公告〔2011〕30號)第十五條的規定，我局決定對你公司採取責令改正的監管措施。你公司應積極採取有效措施，切實進行整改。你公司董事、監事和高級管理人員應認真學習證券法律法規，提升規範運作意識。你公司應當在收到本決定書之日起30日內向我局提交書面整改報告。
如果對本監督管理措施不服的，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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