聖濟堂(600227.SH):財務總監吳洪豔收到貴州證監局行政監管措施決定書
格隆匯5月9日丨聖濟堂(600227.SH)公佈,2022年5月9日,貴州聖濟堂醫藥產業股份有限公司財務總監吳洪豔收到中國證券監督管理委員會貴州監管局行政監管措施決定書【2022】3號《關於對吳洪豔採取出具警示函措施的決定》。
“經查,吳洪豔於2021年1月至今任貴州聖濟堂醫藥產業股份有限公司財務總監。在擔任財務總監期間,吳洪豔配偶陳月明通過其個人賬户在2021年12月16日買入公司股票後在2021年12月17日賣出。上述行為違反了《證券法》第四十四條的相關規定。
鑑於上述交易金額較小且已主動向公司上繳前述交易獲得的全部收益,違法行為輕微並及時糾正。為維護證券市場交易秩序,根據《證券法》第一百七十條第二款的規定,我局決定對吳洪豔本人採取出具警示函的行政監管措施。吳洪豔應充分吸取教訓,加強本人及直系親屬的證券法律法規學習,嚴格規範交易行為,堅決杜絕此類行為再次發生。
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日內向中國證監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。”
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