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*ST中珠(600568.SH)及相關當事人收到《行政處罰和市場禁入事先告知書》
格隆匯 11-10 17:08

格隆匯 11 月 10日丨*ST中珠(600568.SH)公佈,公司此前於201972日收到中國證監會《調查通知書》(編號:鄂證調查字2019046號),“因你公司涉嫌信息披露違法違規,根據《中華人民共和國證券法》的有關規定,我會決定對你公司立案調查,請予以配合”。

公司相關當事人近日收到中國證監會湖北監管局《行政處罰和市場禁入事先告知書》(鄂處罰字[2020]10號)。

根據2005年《證券法》第一百九十三條第一款的規定,建議對中珠醫療給予警告,並處罰款50萬元;對許德來給予警告,並處罰款30萬元;對劉丹寧給予警告,並處罰款20萬元;對陳小崢、劉志堅給予警告,並分別處以10萬元罰款。

根據2005年《證券法》第一百九十三條第三款的規定,對實際控制人許德來給予警告,並處罰款60萬元。

當事人許德來、劉丹寧在公司未按規定披露相關關聯交易事項中起主導作用,情節嚴重,依據2005年《證券法》第二百三十三條和《證券市場禁入規定》(證監會令第115)第三條第一項、第二項和第五條之規定,我局擬決定對許德來、劉丹寧分別採取3年證券市場禁入措施。

自我局宣布決定之日起,在禁入期間內,許德來、劉丹寧不得在任何機構中從事證券業務或者擔任上市公司、非上市公眾公司董事、監事、高級管理人員職務。

根據《中華人民共和國行政處罰法》第三十二條、第四十二條及《中國證券監督管理委員會行政處罰聽證規則》(證監會令第119)相關規定,就我局擬對你們實施的處罰決定及市場禁入,中珠醫療、許德來、劉丹寧、陳小崢、劉志堅享有陳述、申辯和要求聽證的權利,你們提出的事實、理由和證據,經我局複核成立的,我局將予以採納。如果你們放棄陳述、申辯和聽證的權利,我局將按照上述事實、理由和依據作出正式的行政處罰和市場禁入決定。

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