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福成股份(600965.SH):實控人違反證券法規遭罰8萬元
格隆匯 07-01 15:54

格隆匯7月1日丨福成股份(600965.SH)公佈,近日,公司收到河北證監局的《行政處罰事先吿知書》[冀證監處罰字(2021)2號]。公司實際控制人李福成因涉嫌違反證券法律法規一案,已由河北證監局調查完畢,依法擬對其作出行政處罰。經查明,涉嫌違法的事實如下:

李福成作為公司持有5%以上股份的股東,實際控制“張明玉”(資金賬號880003513999,股東賬號A222768636)、“李軍”(資金賬號880003568093,股東賬號A239600239)賬户,於2018年2月2日-2月8日買入福成股份350.076萬股,2018年2月13日賣出福成股份5.66萬股,於2018年2月14日-5月9日買入福成股份164.487萬股,2018年8月8日-8月9日賣出福成股份10.28萬股,存在買入後6個月內賣出和賣出後6個月內又買入情況。

上述違法事實,有證券賬户資料、銀行賬户資料、詢問筆錄等證據證明。

李福成的行為違反2005年修訂的《中華人民共和國證券法》(簡稱“2005年《證券法》”)第四十七條第一款之規定,構成2005年《證券法》第一百九十五條所述的違法行為。

根據違法行為的事實、性質、情節與社會危害程度,依據2005年《證券法》第一百九十五條,河北證監局擬作出以下決定:對李福成給予警吿,並處以8萬元的罰款。

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