On the 23rd, the Beijing Securities Regulatory Bureau issued eight tickets at one go. Among them, the well-known Niu San, Chen Fashu, the former richest man in Fujian, Yang Zhenhua, chairman of Beijing Philisense Technology Co.Ltd(300287) and Hexun, a well-known investment advisory institution, are among them.
"China Buffett" receipt of warning letter
Referring to Chen Fashu, there are many labels, "super niusan", "Buffett of China", "chairman of New Hua Du Supercenter Co.Ltd(002264) and so on. He once made tens of billions by investing Zijin Mining Group Company Limited(601899) Zijin Mining Group Company Limited(601899) . Since then, in 2020, when the epidemic was the most serious, he boldly copied the bottom China Tourism Group Duty Free Corporation Limited(601888) , repeatedly operated Longi Green Energy Technology Co.Ltd(601012) , and became a legend in the stock market.
This time, why was he punished?
According to the warning letter, on December 6, 2021, 1.5 million Center International Group Co.Ltd(603098) shares were successively purchased in the securities account under Chen Fashu's name, and the total shareholding ratio of the above persons acting in concert increased from 4.78% to 5.06%. The shareholding change information was not announced within 3 days until December 31, 2021; From December 6 to December 29, 2021, the securities account under his name continued to buy and sell Center International Group Co.Ltd(603098) shares, keeping the shareholding ratio above 5%, up to 5.20%.
It is worth noting that Chen Fashu raised his card Center International Group Co.Ltd(603098) , which not only used his own and his company's accounts, but also mobilized the whole family, including his wife Lin Yuye and his son Chen Yanhui.
According to the data, from December 6 to December 24, 2021, Center International Group Co.Ltd(603098) 's share price fell from about 50 yuan to about 40 yuan, down about 20%.
Then it rose slightly from December 27 to December 31 and fell again. So far, Center International Group Co.Ltd(603098) has just returned to around 44 yuan.
Beijing Philisense Technology Co.Ltd(300287) actual controller's passive reduction due to violation
receipt warning letter
As a once 10 times Bull Stock, it once made "many old investors earn what they don't want". However, after going through crazy mergers and acquisitions and drawer agreements, Beijing Philisense Technology Co.Ltd(300287) , who stepped down from the altar, did not slow down any more. The actual controller has also repeatedly been deeply involved in the storm of passive liquidation of equity pledge.
According to the warning letter issued by Beijing Securities Regulatory Bureau, as the chairman and general manager of Beijing Philisense Technology Co.Ltd(300287) (hereinafter referred to as " Beijing Philisense Technology Co.Ltd(300287) "), Yang Zhenhua made a commitment at the initial public offering of Beijing Philisense Technology Co.Ltd(300287) and the shares transferred each year during his tenure shall not exceed 25% of the total number of Beijing Philisense Technology Co.Ltd(300287) shares held directly or indirectly.
According to the announcement on the completion of the implementation of the passive reduction plan of the company's controlling shareholders and persons acting in concert, Mr. Yang Zhenhua, Mr. Cao Xinjun, Mr. Chen Hongshun and Mr. Wang Shouyan, disclosed by Beijing Philisense Technology Co.Ltd(300287) on November 12, 2021, after the judicial auction was closed, Ping An Trust Co., Ltd. applied to offset the debt at the closing price, and the Beijing Philisense Technology Co.Ltd(300287) shares held by Yang Zhenhua were reduced by 397509 million shares on November 11, 2021, Accounting for 2.77% of the total share capital of the company. After the completion of this reduction and transfer, Yang Zhenhua reduced a total of 585892 million shares in 2021, accounting for 33.80% of his total holdings at the beginning of the year, in violation of the above commitments.
According to Article 6 of the guidelines for the supervision of listed companies No. 4 - commitments and performance of actual controllers, shareholders, related parties, acquirers and listed companies of listed companies, the Beijing regulatory bureau of the CSRC decided to take the supervision and management measures of issuing warning letters to Yang Zhenhua and record them in the integrity Archives of the securities and futures market.
In fact, in February this year, the Shenzhen Stock Exchange gave Yang Zhenhua a decision to circulate a notice of criticism because of this matter.
Shenzhen Stock Exchange reported that in addition to violating the commitment of reducing holdings by no more than 25%, Yang Zhenhua also illegally reduced holdings during the window period.
On August 17, 2021, Beijing Philisense Technology Co.Ltd(300287) disclosed the progress announcement on the passive reduction plan of Mr. Yang Zhenhua, the controlling shareholder and person acting in concert of the company, which showed that Yang Zhenhua passively reduced 4.4883 million shares by means of centralized bidding on August 16, 2021, accounting for 0.31% of the total share capital Beijing Philisense Technology Co.Ltd(300287) disclosed the semi annual report of 2021 on August 20, 2021. Yang Zhenhua's aforesaid reduction occurred within 30 days before the announcement of 3 Tiansheng Pharmaceutical Group Co.Ltd(002872) 021 semi annual report, constituting a transaction in a sensitive period established investment advisory institutions
misleading publicity punished
Hexun Information Technology Co., Ltd. was ordered to make corrections due to business violations. The company was established in 1995 and is one of the first institutions in China to obtain securities investment consulting qualification. In addition to providing Zhenquan investment consulting services, the company also operates Hexun.
After investigation, Hexun Information Technology Co., Ltd. has the following violations in the process of carrying out securities investment consulting business: first, the securities investment consulting business promotion and customer solicitation are not standardized, and misleading marketing publicity on past performance exists; Second, the management of the mark left in the promotion of securities investment consulting business is not in place
The Beijing securities regulatory bureau pointed out that the above-mentioned acts violated the provisions of Article 24 and paragraph 1 of Article 28 of the Interim Provisions on securities investment consulting business (hereinafter referred to as the Interim Provisions). In accordance with Article 33 of the Interim Provisions, it is decided to take regulatory measures to order it to make corrections.
Hexun technology was also suspended by Beijing Securities Regulatory Bureau for six months in May 2017 due to violations of investment advisory business.
Subsequently, on May 15, 2020, the Beijing Securities Regulatory Bureau issued another document saying that after investigation, during the rectification period when Hexun technology was ordered to suspend the administrative supervision measures for new customers, some investment consultants provided securities investment consulting services through the website of Beijing Hexun Online Information Consulting Co., Ltd., reflecting defects in the company's internal control and personnel management, in violation of the Interim Provisions on securities investment consulting businessP align = "center" the picture shows the ticket received by Hexun technology in 2020
In recent years, the supervision has maintained a high-pressure supervision on investment consulting institutions. According to incomplete statistics, among the 84 investment consulting companies filed by China Securities Association, more than 40 have been taken regulatory measures by the CSRC to suspend new customers.
new era securities
received warning letter for violation of asset management business
New era securities, which has just been acquired by China Chengtong, has received a ticket again!
According to the warning letter issued by Beijing Securities Regulatory Bureau, new era securities was taken regulatory measures to issue a warning letter due to violations of asset management business.
Beijing securities regulatory bureau pointed out that after investigation, in the process of carrying out asset management business, new era securities provided financing to local governments and their subordinate departments and accepted guarantee commitments from local governments and their subordinate departments. The above-mentioned acts violate the provisions of Article 2 of the notice on further regulating the debt financing behavior of local governments and Article 39 of the measures for the administration of private asset management business of securities and futures operating institutions.
Beijing Securities Regulatory Bureau decided to take administrative supervision measures to issue warning letters for new era securities, and required the company to carry out asset management business in strict accordance with relevant laws and regulations.
In the past year, new era securities has been subject to regulatory penalties for many times. On February 15 this year, Jiangsu Securities Regulatory Bureau issued a warning letter to new era securities. It is reported that in the process of entrusted management of "20 overseas investment 01", "20 overseas investment 02" and "20 overseas investment 03" corporate bonds, new era securities has some problems, such as inadequate supervision on the use of funds raised by the issuer and inadequate supervision on the information disclosure of the issuer.
On November 15, 2021, Chongqing Securities Regulatory Bureau disclosed that Xinshidai securities failed to be diligent and responsible when serving as H&R Century Union Corporation(000892) financial consultant, and the documents issued had false records, ordered Xinshidai securities to correct and confiscated 20 million yuan.
