江西銅業股份(00358.HK)收到監管措施決定書
格隆匯11月10日丨江西銅業股份(00358.HK)發佈公告,公司收到中國證券監督管理委員會江西監管局下達的《關於對江西銅業股份有限公司採取責令改正措施的決定》。
經查證,江西證監局發現公司存在以下問題:(1)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》第二十八條及(《上市公司信息披露管理辦法》(證監會令第40號)(管理辦法)第四十五條的相關規定;(2)公司工作人員長期從事控股股東的行政、人事工作等情形,違反了治理準則第六十八條的相關規定;及(3)公司內幕信息知情人登記管理不規範。
根據管理辦法第五十九條、《上市公司現場檢查辦法》(證監會公告[2010]12號)第二十一條及登記管理規定第十五條,江西證監局決定對公司採取責令改正的監管措施。公司應積極採取有效措施,切實進行整改。董事、公司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。公司應當在收到決定書之日起30日內向江西證監局提交書面整改報告。
公司高度重視決定書中指出的問題。董事、監事及公司高級管理人員將切實加強對證券法律法規的學習,提高規範運作意識,認真履行勤勉盡責義務,進一步促使公司規範運作。公司將按照決定書的要求,認真落實整改並形成書面整改報告,及時上報江西證監局。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.