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*ST海倫(300201.SZ):收到《行政處罰及市場禁入事先吿知書》
格隆匯 03-10 08:21

格隆匯3月10日丨*ST海倫(300201.SZ)公佈,2023年3月9日,公司收到江蘇證監局下發的《行政處罰及市場禁入事先吿知書》(蘇證監罰字〔2023〕1號),擬對公司、楊婭、丁劍平、慄沛思、尹亞平、田志寶作出行政處罰並對楊婭採取市場禁入措施。經查明,公司、楊婭、丁劍平、慄沛思、尹亞平、田志寶涉嫌存在(一)海倫哲2016-2019年年度報吿涉嫌存在虛假記載;(二)海倫哲涉嫌未按期披露2022年半年度報吿的違法事實。

江蘇證監局擬決定:1、對海倫哲責令改正,給予警吿,並處以350萬元罰款,其中,針對2016-2019年年度報吿存在虛假記載事項處以300萬元罰款,針對未按期披露2022年半年度報吿事項處以50萬元罰款;2、對楊婭給予警吿,並處以200萬元罰款;3、對丁劍平給予警吿,並處以150萬元罰款;4、對慄沛思給予警吿,並處以80萬元罰款;5、對尹亞平、田志寶給予警吿,並各處以50萬元罰款。

當事人楊婭作為時任海倫哲副董事長、連碩科技總經理,主導、策劃、指揮、實施了連碩科技財務造假行為,導致海倫哲連續4年的年度報吿存在虛假記載,違法行為情節嚴重,江蘇證監局擬決定:對楊婭採取8年證券市場禁入措施,自江蘇證監局宣佈決定之日起,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。

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