旋極信息(300324.SZ):北京證監局擬決定對陳江濤給予警吿並處以100萬元罰款
格隆匯10月7日丨旋極信息(300324.SZ)公佈,此前披露,公司控股股東、實際控制人陳江濤於2020年11月27日收到中國證監會的《調查通知書》,因其涉嫌持股信息變動未及時披露,中國證監會決定對其立案調查。
2021年9月29日,陳江濤收到中國證監會北京監管局《行政處罰事先吿知書》([2021]10號),陳江濤及其一致行動人超比例減持“旋極信息”股票未履行信息披露義務,違反《中華人民共和國證券法》第六十三條第三款的規定,構成《證券法》第一百九十七條第一款“未按照本法規定報送有關報吿或者履行信息披露義務”所述違法行為。北京監管局擬決定對陳江濤給予警吿,並處以一百萬元罰款。
依據《中華人民共和國行政處罰法》及《中國證券監督管理委員會行政處罰聽證規則》規定,就上述擬處罰決定,陳江濤享有陳述、申辯和要求聽證的權利。陳江濤提出的事實、理由和證據,經北京監管局複核成立的,北京監管局將予以採納;如果陳江濤先生放棄陳述、申辯和聽證的權利,北京監管局將按照有關事實、理由和依據作出正式的行政處罰決定。
上述擬處罰決定僅涉及陳江濤個人,對公司的正常經營及財務狀況不產生影響,不涉及《深圳證券交易所創業板股票上市規則》等相關法規規定的重大違法強制退市情形。
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