近日，冠城新材实际控制人之一薛黎曦收到江西证监局《行政处罚事先告知书》，拟被处以180万元罚 款。该告知书显示，薛黎曦因在2024年2月期间为稳定股价而建议他人买卖股票，以及利用其实际控制 的证券账户在买入后六个月内卖出冠城大通股票的行为，分别违反了《证券法》相关规定。 薛黎曦在冠城新材中扮演重要角色，持有丰榕投资68.54%股权，是该公司的法人代表。公开资料显 示，薛黎曦为冠城新材另一位实际控制人韩国龙的大儿媳，自2006年6月起担任冠城新材董事，同时也 是冠城钟表珠宝集团有限公司执行董事。 这已非薛黎曦首次受到监管处罚。此前在2023年12月，她曾因出席披露半年报期间的董事会会议但未提 交表决票被上交所监管警示。冠城新材近年来积极转型，剥离房地产业务，但业绩表现不佳，2023年以 来持续亏损。 本文源自：金融界 江西证监局经调查后拟对薛黎曦作出两项处罚决定：对其建议他人买卖冠城大通的行为处以150万元罚 款；对其短线交易冠城大通的行为给予警告并处以30万元罚款。薛黎曦在被调查后表现出认错态度，具 有主观恶性较小、配合调查等情节。 薛黎曦作为冠城新材实际控制人之一，同时担任公司董事。公司公告表示，此事仅涉及 ...

Core Viewpoint - The chairman and general manager of Maiwei Biotech, Liu Datao, has been placed under investigation by the China Securities Regulatory Commission (CSRC) for suspected short-term trading, which raises concerns about the company's governance and its upcoming IPO in Hong Kong [1][5][6]. Company Overview - Maiwei Biotech is an innovative pharmaceutical company that has not yet achieved profitability, despite having three products on the market. The company has reported significant cumulative losses due to high research and development costs [4][5]. - As of the end of Q1 2023, Liu Datao held 15.1 million shares, representing 3.78% of the total share capital, making him the third-largest shareholder [3]. Financial Performance - The company reported revenues of approximately 44.79 million yuan in Q1 2023, a year-on-year decline of 33.7%. The corresponding net loss was about 292 million yuan, indicating an increase in losses compared to the previous year [5]. - Financial data for 2022-2024 shows revenues of approximately 27.73 million yuan, 128 million yuan, and 200 million yuan, with net losses of approximately 955 million yuan, 1.053 billion yuan, and 1.044 billion yuan respectively [3][4]. IPO Plans - Maiwei Biotech is planning to issue shares (H-shares) and list on the Hong Kong Stock Exchange to meet its funding needs for sustainable development and enhance its international profile. The company submitted its IPO application earlier this year [5]. - The investigation of the chairman may impact the IPO process, as regulatory bodies may extend the inquiry period and require additional information regarding the company's governance and internal controls [6].

Core Viewpoint - The article discusses the investigation of Liu Datao, the chairman and general manager of Maiwei Biotech, by the China Securities Regulatory Commission (CSRC) for suspected short-term trading, which raises concerns about management stability and internal control effectiveness during a critical period for the company's H-share listing [1][4]. Company Overview - Maiwei Biotech is an innovative biopharmaceutical company with a full industry chain layout, focusing on the research, production, and sales of innovative drugs and biosimilars, including antibodies, ADC drugs, and recombinant proteins [3]. - The company has launched three products and is gradually increasing sales, but it has not achieved profitability since its establishment in 2017, accumulating losses of nearly 6 billion yuan [3][13]. Financial Performance - The company's revenue for 2022, 2023, and 2024 was 27.73 million yuan, 128 million yuan, and 200 million yuan, respectively, with year-on-year growth rates of 70.88%, 361.03%, and 56.28% [12]. - However, in the first quarter of 2024, revenue decreased to 45 million yuan, a year-on-year decline of 33.70%, with a net loss of 292 million yuan, down 41.85% year-on-year [12]. - Cumulative losses from 2022 to 2024 were 955 million yuan, 1.053 billion yuan, and 1.044 billion yuan, respectively, with total losses exceeding 3 billion yuan since the company went public [13]. Management and Governance - Liu Datao, the chairman, holds 3.78% of the company's shares and received a pre-tax remuneration of 2.7047 million yuan in 2024 [6]. - The actual controllers of the company are Tang Chunshan and Chen Shanna, holding 42.38% of the voting rights [8]. Regulatory Environment - The CSRC's investigation into Liu Datao for short-term trading could lead to increased scrutiny of the company's management and internal controls, especially as it approaches its H-share listing [4][16]. - Short-term trading by executives can undermine investor trust and disrupt market fairness, as these individuals have access to more internal information [8][9]. Future Prospects - Maiwei Biotech is actively seeking to meet its funding needs and enhance its internationalization by applying for a dual listing on the Hong Kong Stock Exchange [14]. - The company is also exploring financing options, including a proposed issuance of up to 500 million yuan in debt financing tools to optimize its debt structure and reduce financial costs [14].

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除上述"大罚单"之外，建艺集团（SZ002789，股价7.33元，市值11.70亿元）和华设集团（SH603018， 股价7.30元，市值49.92亿元）董事也各自收到《行政处罚决定书》，前者因为未及时披露"以房抵债"交 易事项被罚款150万元，后者因短线交易可转债被罚15万元。 2022年半年度报告有假 去年，海越能源及其控股股东铜川高鑫金融控股有限公司（以下简称高鑫金控）被立案调查。 海越能源称，近日，公司、控股股东及相关责任人收到《行政处罚决定书》。据上述《行政处罚决定 书》，海越能源未按规定披露控股股东非经营性资金占用；错误使用总额法确认收入，导致海越能源 2022年半年度报告存在虚假记载。 海越能源在其申辩材料中提出，对于错误使用总额法确认收入事项，系会计准则适用理解偏差，非主观 故意；相关业务真实，无主观故意虚构业务、虚增收入；出现差错更正事项后积极整改。基于上述理由 等，海越能源请求对其减轻处罚。 浙江证监局表示，不同案件之间的违法事实和情节不同，不具可比性，该局充分考虑了当事人违法行为 的事实、性质、情节与社会危害程度，在法定幅度内确定量罚，量罚适当。 时任副董事长、总经理、董事会秘书曾佳在其 ...

去年，海越能源及其控股股东铜川高鑫金融控股有限公司（以下简称高鑫金控）被立案调查。 海越能源称，近日，公司、控股股东及相关责任人收到《行政处罚决定书》。据上述《行政处罚决定 书》，海越能源未按规定披露控股股东非经营性资金占用；错误使用总额法确认收入，导致海越能源 2022年半年度报告存在虚假记载。 海越能源在其申辩材料中提出，对于错误使用总额法确认收入事项，系会计准则适用理解偏差，非主观 故意；相关业务真实，无主观故意虚构业务、虚增收入；出现差错更正事项后积极整改。基于上述理由 等，海越能源请求对其减轻处罚。 浙江证监局表示，不同案件之间的违法事实和情节不同，不具可比性，该局充分考虑了当事人违法行为 的事实、性质、情节与社会危害程度，在法定幅度内确定量罚，量罚适当。 每经记者 赵李南 每经编辑 杨夏 4月15日，*ST海越（SH600387，股价2.12元，市值9.92亿元，以下简称海越能源）公告，称公司及相关 方收到浙江证监局的《行政处罚决定书》。 记者注意到，海越能源及相关方合计被罚超过1200万元，错误使用"总额法"计算营业收入，致2022年半 年报存在虚假记载，是其违法事实中的重要一项。 除上述"大罚 ...

文/梧桐小编 12月5日晚，甬金股份公告12月4日实控人曹佩凤女士收到《行政处罚事先告知书》。时任董事曹佩凤两次利用公司回购股份的内幕信息、利用控制的他人账户实 施内幕交易。第一次内幕交易盈利549,164.97元（含账面盈亏），第二次内幕交易亏损666,332.16元（含账面盈亏）。浙江证监局拟对曹佩凤罚没共计5,794,989.82 元。因实施短线交易再被罚款60万元，合计拟被罚没639万余元。曹佩凤目前持有公司19.40%的股份，为公司第二大股东，2024年6月不再担任公司董事。曹佩凤 与公司第一大股东虞纪群（YU JI QUN）系夫妻关系，同为甬金股份实际控制人。 曹佩凤于2024年8月2日收到浙江证监局的《立案告知书》。 一、曹佩凤内幕交易"甬金股份"股票 (一)内幕信息的形成和公开过程 1.内幕信息一的形成和公开过程 2022年10月20-24日期间，甬金股份实际控制人、时任董事长虞纪群向公司时任董事会秘书兼财务总监申素贞提出公司回购股份的想法；申素贞开展政策咨询、方 案设计等工作。 2022年10月25日上午，虞纪群通过微信收到申素贞反馈公司回购股份具有可行性，同意由相关专业人员制定具体方案。 ...