濱化股份(601678.SH):高管許峯九收到山東證監局警示函
格隆匯 12 月 1日丨濱化股份(601678.SH)公佈,公司高級管理人員許峯九於近日收到中國證券監督管理委員會山東監管局行政監管措施決定書《關於對許峯九採取出具警示函措施的決定》([2020]67號),現將警示函內容公告如下:
“許峯九:
經查,你於2020年3月3日至2020年6月9日期間擔任濱化集團股份有限公司(以下簡稱濱化股份)副總經理,為公司高級管理人員。許文廣為你之子,在上述期間通過自有證券賬户買賣濱化股份公司股票,該交易行為違反了《證券法》第四十四條的規定。為維護證券市場交易秩序,根據《證券法》第一百七十條的規定,現決定對你採取出具警示函的措施,並記入證券市場誠信檔案。
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。”
公司及許峯九高度重視警示函所指出的問題。公司已督促相關股東及全體董事、監事、高級管理人員引以為戒,進一步加強對《證券法》《上海證券交易所股票上市規則》《上市公司股東、董監高減持股份的若幹規定》等相關法律法規、規範性文件及公司內部管理制度的學習,嚴格規範相關人員買賣公司股票的行為,提高規範運作意識,杜絕此類情況再次發生。
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