Core Viewpoint - The company has announced its intention to apply for a specific issuance of A-shares and has disclosed its regulatory history over the past five years, indicating no penalties but some regulatory measures taken against it [1]. Regulatory Measures - In May 2021, the company received an oral warning from the Shanghai Stock Exchange due to discrepancies between its 2020 earnings forecast and actual results, with a deviation exceeding 50%, which constituted an inaccurate earnings forecast violation [1]. - The company took corrective actions by enhancing internal management and compliance training following the warning, and no similar incidents have occurred since [1]. Individual Accountability - In August 2020, the Zhejiang Securities Regulatory Bureau issued a warning letter to the former vice president, Li Zhenhui, for engaging in short-term trading of the company's stock through his spouse's account, which involved buying 106,300 shares and selling 109,200 shares [2]. - The short-term trading resulted in a profit of 23,347 yuan, which was returned to the company, and Li Zhenhui resigned from his position on May 25, 2020, acknowledging the seriousness of the issue [2].
正裕工业披露近五年监管措施及整改情况 曾因业绩预告不准、高管配偶短线交易被警示