最新！上交所发布2个监管案例、2个离职人员入股拟上市企业核查案例分析

Regulatory Cases Summary - Case 1: A company failed to adequately disclose shareholding arrangements involving its chairman and general manager, leading to inaccurate information in its prospectus and periodic reports. The chairman and general manager were involved in a shareholding arrangement where 4% of the company's shares were held on behalf of an employee, which was not disclosed until a site inspection [2][3] - Case 2: A listed company applied for a simplified procedure to issue shares to specific investors, but the project accountant was penalized by the China Securities Regulatory Commission (CSRC) for issues related to non-public offerings, making the simplified procedure inapplicable. The accountant failed to report this in a timely manner, resulting in inaccurate disclosures [4][5] Analysis of Departed Personnel's Shareholding - Case Analysis: Two cases were analyzed regarding the shareholding of departed personnel in companies seeking to go public. In the first case, a direct shareholder's investment was confirmed to be compliant, with no connections to departed personnel. In the second case, over 800 indirect shareholders had names matching those of departed personnel, but their shareholding was minimal, making it difficult to conduct thorough checks [6][7][10] - Compliance Measures: The intermediary institutions involved in these cases took alternative measures to ensure compliance with regulations, including obtaining confirmations from direct shareholders and conducting thorough checks on shareholding structures and values [9][11]