Securities code: 601127 securities abbreviation: Chongqing Sokon Industry Group Stock Co.Ltd(601127) Announcement No.: 2022-016 bond Code: 113016 bond abbreviation: Xiaokang convertible bond
Chongqing Sokon Industry Group Stock Co.Ltd(601127)
Announcement on regulatory measures or penalties taken by securities regulatory authorities and stock exchanges in the past five years
The board of directors and all directors of the company guarantee that there are no false records, misleading statements or major omissions in the contents of this announcement, and bear individual and joint liabilities for the authenticity, accuracy and completeness of its contents.
Chongqing Sokon Industry Group Stock Co.Ltd(601127) (hereinafter referred to as the “company”) has continuously improved the corporate governance structure and established and improved the internal control system in strict accordance with the company law of the people’s Republic of China, the securities law of the people’s Republic of China, the relevant laws and regulations of the China Securities Regulatory Commission (hereinafter referred to as the “CSRC”) and the Shanghai Stock Exchange since its listing, Standardize the operation of the company, promote the sustainable and healthy development of the company and continuously improve the governance level of the company.
In view of the company’s intention to apply for non-public offering of a shares, according to relevant requirements, the company’s regulatory measures or penalties taken by the securities regulatory authorities and the exchange in the past five years are hereby announced as follows:
1、 Punishment by securities regulatory authorities and exchanges in the past five years
The company has not been punished by the securities regulatory authority and the exchange in the past five years.
2、 Regulatory measures and rectification measures taken by securities regulatory authorities and exchanges in the past five years
On December 24, 2018, the company received the regulatory attention letter on Chongqing Sokon Industry Group Stock Co.Ltd(601127) issued by Chongqing regulatory bureau of China Securities Regulatory Commission (YJH [2018] No. 262). For the main contents, see the announcement on the company’s receipt of the regulatory attention letter from Chongqing Securities Regulatory Bureau (Announcement No.: 2018-133) disclosed by the company on December 25, 2018. On January 28, 2019, the company received the decision on paying regulatory attention to Chongqing Sokon Industry Group Stock Co.Ltd(601127) and relevant responsible persons issued by Shanghai Stock Exchange (szgjh [2018] No. 0104).
After recognizing the problems related to the management and use of raised funds, the company timely standardized and rectified them. On August 20, 2018, the company held the 18th meeting of the third board of directors and the 11th meeting of the third board of supervisors respectively, deliberated and adopted the proposal on using bank acceptance bills to pay the funds required for raised investment projects and replacing them with the raised funds in equal amount, On August 21, 2018, the company disclosed the announcement on the resolution of the 18th meeting of the third board of directors, the announcement on the resolution of the 11th meeting of the third board of supervisors and the announcement on using bank acceptance bills to pay the funds required for raised investment projects and replace them with the raised funds, improved the relevant approval procedures and disclosed them.
The board of directors, the board of supervisors and the management of the company attach great importance to the above regulatory concerns, immediately organize directors, supervisors and senior managers to seriously study the laws, regulations and normative documents of listed companies, take this as a warning, standardize the operation in strict accordance with the requirements of laws and regulations, and truly, accurately and completely perform the corresponding deliberation and information disclosure obligations.
In addition to the above, the company has not been punished or taken regulatory measures by the securities regulatory authorities and the exchange in the past five years.
It is hereby announced.
Chongqing Sokon Industry Group Stock Co.Ltd(601127) board of directors January 27, 2022
