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九鼎投資(600053.SH):實控人吳剛被證監會採取5年市場禁入措施
格隆匯 02-14 17:59

格隆匯2月14日丨九鼎投資(600053.SH)公佈,近日,中國證監會對公司實際控制人吳剛出具《市場禁入決定書[2023]2號》。

根據當事人違法行為的事實、性質、情節與社會危害程度,依據《基金法》第一百四十八條和《證券市場禁入規定》(證監會令第115號)第三條第六項、第五條第一款的規定,中國證監會決定:對吳剛採取5年市場禁入措施,自中國證監會宣佈決定之日起,在禁入期間內,除不得繼續在原機構從事證券業務或者擔任原上市公司、非上市公眾公司董事、監事、高級管理人員職務外,也不得在其他任何機構中從事證券業務或者擔任其他上市公司、非上市公眾公司董事、監事、高級管理人員職務。

當事人如果對本決定不服,可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申請行政複議,也可在收到本決定書之日起6個月內直接向有管轄權的人民法院提起行政訴訟。複議和訴訟期間,上述決定不停止執行。

案件所涉責任人中吳剛系公司實際控制人,目前未在公司擔任董事、監事及高級管理人員職務,也未在公司從事證券業務,本次中國證監會對公司實際控制人吳剛作出的市場禁入決定不會對公司日常生產經營活動造成重大影響。

上述處罰結果對公司及子公司日常經營業績不產生直接影響。

公司及實際控制人高度重視上述市場禁入的決定,將進一步規範和加強公司治理,並切實做好日常經營管理工作。

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