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一科创板公司财务造假,公开发行文件编造重大虚假内容,公司及责任人拟被罚7620万

Core Viewpoint - Jiangsu Nuotai Aosaikeno Biopharmaceutical Co., Ltd. is facing administrative penalties due to significant violations in financial reporting and information disclosure, leading to a warning and substantial fines for the company and its executives [1][2][12]. Summary by Sections Violations Identified - The company’s 2021 annual report contained false records, inflating business revenue by 30 million yuan and total profit by 25.9516 million yuan, which accounted for 20.64% of the reported profit for that period [1][5][12]. - The company fabricated significant false content in public issuance documents, particularly in the financial accounting information section of the convertible bond issuance prospectus [1][9][12]. Administrative Penalties - The China Securities Regulatory Commission (CSRC) plans to impose a fine of 47.4 million yuan on the company and a warning, along with fines on the actual controller and other responsible individuals ranging from 150,000 to 1.3 million yuan [2][15]. - The company’s stock will be subject to risk warnings and will be temporarily suspended from trading [2][16]. Details of the Convertible Bond Issuance - The company issued convertible bonds totaling 434 million yuan with a six-year term, but the financial data disclosed in the issuance documents was misleading due to the previously mentioned violations [1][8][9]. Management Accountability - Key executives, including the actual controller Zhao Dezhong and chairman Zhao Deyi, are held accountable for the violations, with specific fines imposed based on their roles in the misconduct [12][15]. - The management team failed to address the irregularities in the financial reporting and the issuance documents, leading to their respective penalties [6][10][12]. Company Response - The company acknowledges the violations and expresses commitment to rectify the issues, enhance compliance with regulations, and improve operational standards to protect shareholder interests [17][19].