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瑞達期貨(002961.SZ):公司及相關責任人收到廈門證監局出具的行政監管措施決定書

格隆匯4月30日丨瑞達期貨(002961.SZ)公佈,公司及相關責任人收到中國證券監督管理委員會廈門監管局(簡稱“廈門證監局”)出具的《關於對瑞達期貨股份有限公司採取出具警示函、責令處分有關人員和責令增加內部合規檢查次數措施的決定》和《關於對林志斌、葛昶、曾永紅、楊明東採取出具警示函措施的決定》,經查,公司存在以下違規問題:公司對風險管理子公司的內部控制管理不到位,子公司瑞達新控資本管理有限公司會計覈算不規範,以前年度部分貿易類業務收入確認不符合《企業會計準則第14號——收入準則》的規定,導致公司有關年度定期報告披露的相關財務數據不準確。公司已更正前期會計差錯。公司的上述有關行爲違反了《上市公司信息披露管理辦法》(證監會令第182號)第三條第一款以及《期貨公司監督管理辦法》(證監會令第155號)第五十一條、第五十六條的規定。根據《上市公司信息披露管理辦法》第五十二條、《期貨公司監督管理辦法》第一百零九條的規定,我局決定對公司採取出具警示函、責令處分有關人員和責令增加內部合規檢查次數的監督管理措施,並根據《證券期貨市場誠信監督管理辦法》將相關情況記入證券期貨市場誠信檔案。

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