According to the latest statement of the national stock transfer company, in March 2022, the national stock transfer company gave disciplinary sanctions for 11 violations; Self regulatory measures were taken for 119 violations, of which 94 violations were taken with oral warning and 25 violations were taken with written self regulatory measures.
Specifically, disciplinary actions: first, Kunshan Jinxin New Energy Technology Co., Ltd. (hereinafter referred to as "Jinxin new energy") purchased and leased production lines and equipment in 2019, and the related transactions constituted a major asset restructuring. Jinxin Xinneng failed to timely perform the internal review procedures and information disclosure obligations when major asset restructuring occurred, and the actual controller, chairman Zhang Xiaohong and other relevant responsible subjects failed to faithfully and diligently perform their duties. The above acts violate the relevant provisions of the measures for the administration of major asset restructuring of unlisted public companies and the business rules of the national share transfer system for small and medium-sized enterprises (Trial) (hereinafter referred to as the business rules). According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to relevant responsible subjects such as Jin Xinneng and Zhang Xiaohong.
Second, Dongguan kaichangde Electronic Technology Co., Ltd. (hereinafter referred to as "Kaide technology") failed to disclose the periodic report on schedule; When Cade technology was listed, the controlling shareholder, actual controller and Chairman Wu Lehai held shares for others; The disclosure of special investment terms by Cade technology in public transfer instructions and other listing materials is untrue, inaccurate and incomplete. Cade technology has the above information disclosure violations and unclear equity, and Wu Lehai and other relevant responsible subjects failed to perform their duties faithfully and diligently. The above-mentioned acts violate the relevant provisions of the business rules, the information disclosure rules of listed companies of the National SME share transfer system (hereinafter referred to as the information disclosure rules), the guidelines on the basic standards applicable to the listing conditions of the National SME share transfer system (for Trial Implementation), and the guidelines on the content and format of the public transfer instructions of the National SME share transfer system (for Trial Implementation). In accordance with relevant regulations, our company gives disciplinary sanctions of public condemnation to Cade technology, publicly condemns Wu Lehai and finds that he is not suitable to serve as a director, supervisor and senior manager of the company for five years, and takes self-discipline supervision measures of issuing a warning letter to Fang Wei, Secretary of the board of directors (person in charge of information disclosure).
Third, Ruiyi Education Technology Co., Ltd. (hereinafter referred to as "St Ruiyi") corrected the accounting errors in 2019 on April 30, 2021, adjusted the early-stage revenue recognition, inventory and sales expense subjects, and retroactively adjusted the financial data in 2019. There were accounting errors in the periodic reports disclosed by St Ruiyi, and the relevant responsible subjects such as chairman Shao Jianyu failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of the business rules, the information disclosure rules and the corporate governance rules for listing on the National SME share transfer system (hereinafter referred to as the corporate governance rules). According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to st Ruiyi, Shao Jianyu and other relevant responsible subjects.
Fourth, Nanjing Jingmiao energy saving materials Co., Ltd. (hereinafter referred to as "Jingmiao materials") failed to disclose the 2021 interim report on schedule, and the chairman Chen Weiqing and other relevant responsible subjects failed to faithfully and diligently perform their duties. The above acts violate the relevant provisions of the business rules and the information disclosure rules. In accordance with relevant regulations, our company imposed disciplinary sanctions of public condemnation on Jingmiao materials and Chen Weiqing, and took self regulatory measures of issuing a warning letter to Lin Wencong, then Secretary of the board of directors.
Fifth, the subsidiary of Fujian Shengli Intelligent Industrial Technology Co., Ltd. (hereinafter referred to as "Shengli intelligent") purchased raw materials from related parties from October to December 2021, and the related transactions constituted related party transactions. Shengli intelligence failed to review and disclose related party transactions in time, and relevant responsible subjects such as chairman Zhang Chunmin failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of business rules, information disclosure rules and corporate governance rules. According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to relevant responsible subjects such as Shengli intelligence and Zhang Chunmin.
Sixth, Jinrun ark Technology Co., Ltd. (hereinafter referred to as "Jinrun technology") carried out its own goods bidding service platform business from August 19 to October 15, 2018, and advanced funds for downstream customers through other companies; A company actually lent the money advanced by Jinrun technology to others and did not return it in full. In order to recover the overdue advance payment, the company transferred all creditor's rights and obligations to Jinrun technology. Jinrun technology failed to timely review and disclose the advance of funds for downstream customers, and failed to timely disclose the changes of relevant creditor's rights and debt relationships; The then Chairman Yang Jian and other relevant responsible subjects failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of the business rules and the information disclosure rules. According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to relevant responsible subjects such as Jinrun technology and Yang Jian.
Seventh, other enterprises controlled by the actual controller of Shandong Sanxin Trading Co., Ltd. (hereinafter referred to as "Sanxin") occupied Sanxin's funds in the form of loans from September 1, 2020 to August 31, 2021. Sanxin Co., Ltd. failed to take effective measures to prevent the actual controller and its related parties from occupying the company's funds and failed to disclose the occupation of funds in time, and the actual controller Shi Chunyu and other relevant responsible subjects failed to faithfully and diligently perform their duties. The above acts violate the relevant provisions of business rules, information disclosure rules and corporate governance rules. According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to relevant responsible subjects such as Sanxin Co., Ltd. and Shi Chunyu.
Eighth, Shenghe City Environmental Protection Technology Co., Ltd. (hereinafter referred to as "Shenghe environmental protection") made external payments in the name of performing product procurement contracts and investment respectively in 2018 and 2021, and the relevant funds were finally transferred to the account of the controlling shareholder Guangxi Shenghe Investment Group Co., Ltd. (hereinafter referred to as "Shenghe investment"); In 2020 and 2021, Shenghe environmental protection repeatedly failed to disclose information timely and accurately; In July 2021, Shenghe environmental protection recovered the advance payment to the two companies and transferred the relevant funds back to the two companies by injecting capital into the subsidiaries; Shenghe investment, the controlling shareholder of Shenghe environmental protection, failed to fulfill the disclosed public commitments within the commitment period. Shenghe environmental protection has occupied the above funds, the information disclosure is not timely and accurate, and the financial internal control is not standardized; The controlling shareholder Shenghe investment has occupied the funds of the listed company and failed to fulfill its public commitments; The actual controller, the chairman's full confidant and other relevant responsible subjects failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of the measures for the supervision and administration of unlisted public companies, business rules, information disclosure rules and corporate governance rules. In accordance with relevant regulations, our company gives disciplinary sanctions of public condemnation to relevant responsible subjects such as Shenghe environmental protection, Shenghe investment and quanzhiyin.
Ninth, Dalian Haohan Education Consulting Co., Ltd. (hereinafter referred to as "Haohan education") invested 20 million yuan raised by issuing shares into a company for the construction of campus activity center in September 2019. After receiving the relevant funds, the company lent 19.9 million yuan to another company with the consent of Yang Zhen, chairman of Haohan education.
Vast education has changed the purpose of the raised funds, failed to fulfill the review and disclosure procedures, and used the raised funds in the scope of prohibited use; Yang Yu failed to perform his duties faithfully and diligently. The above-mentioned acts violate the relevant provisions of the business rules, the rules for the directional issuance of shares of the national share transfer system for small and medium-sized enterprises, the detailed rules for the implementation of matters related to the issuance of shares of listed companies and the FAQ (III) on the issuance of shares of listed companies. In accordance with relevant regulations, our company will give a disciplinary punishment of circulating a notice of criticism to Haohan education and a disciplinary punishment of public condemnation to Yang Yu.
10. The actual controller and directors and senior executives of Hefei Zhicheng Education Co., Ltd. (hereinafter referred to as "Zhicheng education") occupy the company's funds; Since November 2019, Zhicheng education and its controlling shareholder, actual controller and then chairman Jin Quanrong have signed the equity transfer and holding agreement with a number of investors, and Jin Quanrong has signed the supplementary agreement on equity holding with investors containing commitments, repurchase and compensation; On April 29, 2021, Zhicheng education retroactively adjusted the financial data in the 2019 annual report, and the adjustment ratios of net profit and net assets were - 103763% and - 46.17% respectively. Zhicheng education failed to timely fulfill the obligation of information disclosure on capital occupation and share holding, and failed to ensure the authenticity, accuracy and integrity of the information disclosure; Jin Quanrong and other relevant responsible subjects failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of business rules, information disclosure rules and corporate governance rules. In accordance with relevant regulations, our company gives disciplinary sanctions of public condemnation to relevant responsible subjects such as Zhicheng education and Jin Quanrong.
11. Beijing Yaosheng Sports Industry Co., Ltd. (hereinafter referred to as "Yaosheng sports") signed an investment agreement with the subscription object containing special investment terms such as performance commitment during the stock issuance in 2017; After the subscription object had a dispute with Yaosheng sports on the above-mentioned contract, it filed an arbitration with Beijing Arbitration Commission. Yaosheng sports received the notice of reply on April 4, 2021, but made supplementary disclosure no later than August 24, 2021. Yaosheng sports failed to review and disclose special investment terms in time, and failed to disclose major arbitration cases in time; The then chairman Si Huadong and other relevant responsible subjects failed to perform their duties faithfully and diligently. The above acts violate the relevant provisions of the business rules, the information disclosure rules, the detailed rules for the stock issuance business of the national share transfer system for small and medium-sized enterprises (for Trial Implementation) and the FAQs for the stock issuance of listed companies (III). According to relevant regulations, our company will give disciplinary punishment of circulating a notice of criticism to relevant responsible subjects such as Yaosheng sports and Huadong.
At the same time, the violations of written self-regulation measures taken in March include information disclosure violations, corporate governance violations, equity change violations and other violations.
In terms of violations of information disclosure, first, the listed company failed to disclose major information that should be disclosed in time, such as major litigation information, information that more than 5% of the shares of the listed company held by any shareholder have been pledged or frozen, major transaction information, information involving level adjustment, information on repurchase progress, and information that the listed company has been investigated for criminal responsibility; Second, the acquirer failed to disclose the acquisition report, professional opinions of financial advisers and legal opinions in time; Third, the relevant responsible subjects of listed companies have the behavior of holding shares on behalf of others, resulting in unclear equity and non-standard information disclosure of listed companies; Fourth, the financial information in the periodic reports disclosed by listed companies is untrue and inaccurate; Fifth, listed companies have incomplete information disclosure and inaccurate disclosure of inquiry reply.
In terms of corporate governance violations, first, the related party transactions of listed companies failed to timely fulfill the review procedures and information disclosure obligations; Second, the public commitment on the change of relevant responsible subjects of listed companies was not submitted to the general meeting of shareholders for deliberation.
In terms of violations of equity changes, the main reason is that after the equity shares owned by investors and their concerted actors reach 10% of the issued shares of the listed company, the trading is not suspended every time the equity shares increase or decrease by an integral multiple of 5%.
In terms of other violations, first, the relevant responsible subjects of the listed company sell their shares of the company within six months after buying, or buy them again within six months after selling; Second, the listed company did not implement repurchase within the repurchase implementation range without reasonable reasons.
The national stock transfer company said that it would conscientiously perform its front-line supervision responsibilities in accordance with "building systems, non intervention and zero tolerance", continue to strengthen self-discipline supervision, continuously improve the operation quality of the new third board market and the standardized operation level of market subjects, resolutely take regulatory measures for violations, effectively protect the legitimate rights and interests of investors and ensure the healthy and orderly development of the new third board market.
