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山子高科(000981.SZ)收到甘肅監管局下發的《行政監管措施決定書》
格隆匯 01-05 16:21

格隆匯1月5日丨山子高科(000981.SZ)公吿,山子高科技股份有限公司(以下簡稱“山子高科”或“公司”)於近日收到中國證券監督管理委員會甘肅監管局(以下簡稱“甘肅監管局”)下發的《行政監管措施決定書》(〔2024〕21號,以下簡稱“《決定書》”),甘肅監管局對公司及相關人員採取責令改正監管措施的決定。

《決定書》主要內容:經查,山子高科技股份有限公司(以下簡稱“山子高科”或“公司”)存在以下違規事實:1、信息披露事務管理制度不完善經查,你公司未及時修訂信息披露事務管理制度,未規定對外發布信息的申請、審核、發佈流程等內容。上述行為違反了《上市公司信息披露管理辦法》(證監會令第182號)第三十條的規定。2、內幕信息知情人登記管理制度不完善且執行不到位經查,你公司未及時修訂內幕信息知情人登記管理制度;未嚴格按照規定填寫上市公司內幕信息知情人檔案,且存在內幕信息知情人未進行確認的情況。上述行為違反了《上市公司監管指引第5號—上市公司內幕信息知情人登記管理制度》(證監會公吿〔2022〕17號)第五條、第六條第一款的規定。

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