三柏碩(001300.SZ):收到青島證監局警示函
格隆匯7月5日丨三柏碩(001300.SZ)公佈,公司於2024年7月5日收到中國證券監督管理委員會青島監管局行政監管措施決定書《關於對青島三柏碩健康科技股份有限公司、藍華、方瑞徵採取出具警示函措施的決定》(〔2024〕14號)(以下簡稱"《警示函》"),現將有關情況公吿如下:
"青島三柏碩健康科技股份有限公司、藍華、方瑞徵:
經查,青島三柏碩健康科技股份有限公司(以下簡稱公司)於2022年11月18日經股東大會審議通過,使用額度不超行6.1億元人民幣的部分暫時閒置募集資金進行現金管理,使用期限為自股東大會審議通過之日起十二個月。前述授權投資期限到期後,公司繼續使用部分閒置募集資金進行現金管理,金額總計4.63億元。公司未就上述事項及時履行審議程序和信息披露義務,直至2023年12月29日才召開股東會補充審議前述募集資金現金管理議案並披露。
公司的上述行為違反了《上市公司監管指引第2號——上市公司募集資金管理和使用的監管要求(2022年修訂)》(證監會公吿〔2022〕15號)第八條和《上市公司信息披露管理辦法》(證監會令第182號)第三條的規定。在前述事項中,藍華、方瑞徵作為公司時任財務總監、董祕未能勤勉盡責,督促上市公司規範使用募集資金並履行信息披露義務,違反了《上市公司監管指引第2號——上市公司募集資金管理和使用的監管要求(2022年修訂)》(證監會公吿〔2022〕15號)第三條和《上市公司信息披露管理辦法》(證監會令第182號)第四條的規定。
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