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内幕信息管理违规!石大胜华及高管遭监管处罚,公司前董事配偶曾短线交易获益
Mei Ri Jing Ji Xin Wen· 2025-06-27 13:57
Core Viewpoint - Shida Shenghua has been ordered to rectify its insider information management practices by the Shandong Securities Regulatory Bureau due to violations in the registration management of insider information [2][3] Group 1: Regulatory Actions - The Shandong Securities Regulatory Bureau found two major issues in Shida Shenghua's insider information management: failure to timely revise the insider information registration management system and not properly documenting insider information for significant events [2] - As a result, the bureau has mandated corrective actions for Shida Shenghua and issued warning letters to its chairman Guo Tianming and board secretary Lü Junqi, who are held primarily responsible for the violations [2][3] - The company is required to submit a rectification report within 30 days of receiving the decision [2] Group 2: Short-term Trading Incident - In 2023, it was reported that the spouse of former director Zhang Jinlou engaged in short-term trading of Shida Shenghua's shares, resulting in a profit of over 5,000 yuan [1][3] - The spouse, Liu Mei, conducted 46 transactions from August 6, 2020, to February 20, 2023, buying a total of 59,700 shares for 3.72 million yuan and selling 53,700 shares for 3.17 million yuan [3][4] - The Shanghai Stock Exchange criticized Zhang Jinlou for not being aware of his spouse's trading activities, stating that ignorance does not exempt him from responsibility [4] Group 3: Company Response and Future Actions - Shida Shenghua has expressed its commitment to addressing the issues highlighted in the regulatory decision and will enhance compliance awareness and risk management [2] - The company emphasized that the regulatory measures will not affect its normal production and operational activities and will continue to fulfill its information disclosure obligations [2]
梦网科技: 北京国枫律师事务所关于梦网云科技集团股份有限公司内幕信息知情人登记制度的制定和执行情况的专项核查意见
Zheng Quan Zhi Xing· 2025-06-26 16:50
Group 1 - The law firm Grandway Law Offices has been appointed as a special legal advisor for the restructuring of DreamNet Cloud Technology Group Co., Ltd. [1][2] - The restructuring involves the acquisition of 100% equity of Hangzhou Bicheng Digital Technology Co., Ltd. through the issuance of shares and cash payment [1][2] - The law firm has issued a special verification opinion regarding the establishment and execution of the insider information registrant system of the company [2][3] Group 2 - DreamNet has established and revised its insider information registrant system in accordance with relevant laws and regulations [3][4] - The company has informed insider information registrants of their confidentiality obligations and responsibilities, prohibiting the disclosure of insider information before legal disclosure [4] - Necessary confidentiality measures have been taken to prevent insider information leakage, and the company has complied with relevant legal and regulatory requirements during the restructuring process [4][5]
中国铝业: 中国铝业股份有限公司内幕信息及知情人管理细则
Zheng Quan Zhi Xing· 2025-06-26 16:48
中国铝业股份有限公司 内幕信息及知情人管理细则 第一章 总则 第一条 为规范中国铝业股份有限公司(以下简称公司)内幕信息管 理,加强内幕信息保密工作,维护信息披露的公平原则,保护广大投资者 的合法权益,根据《中华人民共和国公司法》《中华人民共和国证券法》 《上市公司信息披露管理办法》《上市公司监管指引第5号—上市公司内幕 信息知情人登记管理制度》《上海证券交易所股票上市规则》《香港联合 交易所有限公司证券上市规则》、香港《证券及期货条例》等有关法律、 法规、规章、规范性文件以及《中国铝业股份有限公司公司章程》(以下 简称《公司章程》)的有关规定,结合公司实际情况,制定本细则。 第二条 本细则适用于公司本部各部门、公司所属分公司、全资或控 股子公司以及公司实际管理的其他企业(以下合称所属企业)。 第三条 公司董事会是内幕信息的管理机构。公司董事会秘书为内幕 信息管理工作负责人,公司证券事务管理部门具体负责公司内幕信息的日 常管理工作。 第二章 内幕信息的范围 第四条 本细则所称内幕信息是指涉及公司经营、财务或者对公司证 券及衍生品种交易市场价格有重大影响,尚未在证券监管部门指定的上市 公司信息披露媒体或网站上正 ...
大中矿业: 内幕信息知情人管理制度
Zheng Quan Zhi Xing· 2025-06-26 16:41
第二条 公司内幕信息登记备案工作由公司董事会负责,董事会应当对内幕 信息知情人信息的真实性、准确性、完整性进行核查,保证内幕信息知情人备案 名单和信息的真实、准确、及时和完整,董事长为主要责任人;董事会秘书负责 办理上市公司内幕信息知情人的登记入档事宜。董事长与董事会秘书应当对内幕 信息知情人档案的真实、准确和完整签署书面确认意见。 除董事会秘书外的其他董事、高级管理人员和其他人员,非经董事会书面授 权并遵守《股票上市规则》、《规范运作》等有关规定,不得对外发布任何公司 未公开重大信息。 第三条 公司董事会办公室为公司内幕信息登记备案工作的日常工作部门。 第四条 公司董事、高级管理人员和公司下属各部门、分公司、控股子公司 及上市公司能够对其实施重大影响的参股公司应做好内幕信息的保密工作。 -1- 大中矿业股份有限公司 第一章 总 则 第一条 为了进一步规范大中矿业股份有限公司(以下简称"公司")内幕 信息管理行为,加强公司内幕信息保密工作,维护信息披露的公平原则,根据《中 华人民共和国公司法》、《中华人民共和国证券法》(以下简称《证券法》)、 《上市公司信息披露管理办法》、《上市公司监管指引第 5 号——上市 ...
亚世光电: 内幕信息知情人登记管理制度
Zheng Quan Zhi Xing· 2025-06-26 16:30
Core Viewpoint - The company has established a comprehensive insider information management system to ensure confidentiality, prevent insider trading, and protect investors' rights in accordance with relevant laws and regulations [1][2][3]. Group 1: Insider Information Management - The company’s board of directors is responsible for timely registration and reporting of insider information personnel, ensuring the accuracy and completeness of the records [2][3]. - The board office serves as the sole information disclosure institution, and no department or individual may disclose insider information without board approval [3][4]. - Insider information is defined as any undisclosed information that could significantly impact the company's operations, finances, or stock price [4][5]. Group 2: Scope of Insider Information - Insider information includes major changes in business policies, significant investments, important contracts, major debts, and other events that could affect the company's financial status or stock price [5][6]. - Individuals classified as insider information personnel include company directors, senior management, major shareholders, and others who may have access to sensitive information [6][7]. Group 3: Registration and Reporting - The company must maintain a detailed record of all individuals who are privy to insider information, including their identification details and the nature of the information they received [5][6]. - Any significant corporate events must be reported to the Shenzhen Stock Exchange, including major asset restructurings and changes in shareholding [6][7]. Group 4: Confidentiality Obligations - Insider information personnel are required to maintain confidentiality and are prohibited from trading based on insider information or disclosing it to others [12][13]. - The company must ensure that the flow of insider information is strictly controlled and that any external disclosures are approved by the board secretary [16][17]. Group 5: Accountability and Compliance - The company reserves the right to hold accountable any insider information personnel who violate confidentiality agreements or engage in insider trading, with potential legal consequences [29][30]. - Regular audits of insider trading activities will be conducted to ensure compliance with regulations and to report any violations to regulatory authorities [31][32].
海量数据: 海量数据内幕信息知情人登记备案制度
Zheng Quan Zhi Xing· 2025-06-26 16:23
北京海量数据技术股份有限公司 内幕信息知情人登记备案制度 北京海量数据技术股份有限公司 内幕信息知情人登记备案制度 二零二五年六月 北京海量数据技术股份有限公司 内幕信息知情人登记备案制度 第一章 总则 北京海量数据技术股份有限公司 内幕信息知情人登记备案制度 第一条 为进一步规范北京海量数据技术股份有限公司(以下简称"公司") 的内幕信息管理,加强内幕信息保密工作,维护信息披露的公平原则,保护投资 者的合法权益,根据《中华人民共和国公司法》、《中华人民共和国证券法》(以 下简称"《证券法》")、《上市公司信息披露管理办法》、《上市公司监管指引第 5 号——上市公司内幕信息知情人登记管理制度》、 《上海证券交易所股票上市规则》 等有关法律、法规、规范性文件及《北京海量数据技术股份有限公司章程》(以 下简称"《公司章程》")的有关规定,特制定本制度。 第三条 公司董事会是内幕信息的管理机构,应当按照相关规则要求及时登 记和报送内幕信息知情人档案,并保证内幕信息知情人档案真实、准确和完整, 董事长为主要责任人。董事会秘书负责办理上市公司内幕信息知情人的登记入档 事宜。董事长与董事会秘书应当对内幕信息知情人档案的真 ...
ST东时: 内幕知情人登记备案制度
Zheng Quan Zhi Xing· 2025-06-25 19:45
东方时尚驾驶学校股份有限公司内幕信息知情人登记管理制度 第一条 为规范东方时尚驾驶学校股份有限公司(以下简称"公司")内幕信息 管理行为,加强内幕信息保密工作,维护公司信息披露的公开、公平、公正原则, 防范内幕交易行为发生,保护投资者的合法权益,根据《中华人民共和国公司法》 (以下简称"《公司法》")、《中华人民共和国证券法》(以下简称"《证券法》")、 东方时尚驾驶学校股份有限公司 内幕信息知情人登记管理制度 《上市公司信息披露管理办法》(以下简称《信息披露管理办法》)、《上市公 司监管指引第 5 号——上市公司内幕信息知情人登记管理制度》《上海证券交易 所上市公司自律监管指引第 2 号——信息披露事务管理》等有关法律、法规、规 范性文件,及《东方时尚驾驶学校股份有限公司章程》(以下简称"《公司章程》") 的有关规定,特制定本制度。 第二条 公司董事会是内幕信息的管理机构,董事长为主要责任人。董事会 秘书负责办理公司内幕信息知情人的登记入档和报送事宜。董事长与董事会秘书 应当对内幕信息知情人档案的真实、准确和完整签署书面确认意见。 公司董事会办公室为内幕信息登记备案工作的日常工作部门。未经董事会批 准,公司 ...
新时达: 内幕信息知情人登记、报备和保密制度(2025年6月)
Zheng Quan Zhi Xing· 2025-06-25 18:07
General Principles - The company establishes a system for the registration, reporting, and confidentiality of insider information to enhance the management of insider information and maintain fair information disclosure principles [1][2] - The board of directors is responsible for timely registration and reporting of insider information personnel, ensuring the accuracy and completeness of the insider information personnel archives [1][2] Scope of Insider Information - Insider information includes significant unpublicized information that affects the company's operations, finances, or stock trading prices, as defined by the Securities Law [2][3] - Specific examples of insider information include major changes in business policies, significant asset transactions, important contracts, major debts, and significant losses [2][3][4] Identification of Insider Information Personnel - Insider information personnel are defined as individuals who can access or obtain insider information, including company directors, senior management, and significant shareholders [4][5] - The identification criteria also include external parties involved in significant transactions or regulatory bodies that may access insider information [4][5] Registration and Reporting Procedures - The company must maintain accurate records of all insider information personnel and their knowledge of insider information, with documentation retained for at least ten years [5][6] - The board secretary is responsible for registering insider information personnel and must report to the Shenzhen Stock Exchange within five trading days after the public disclosure of insider information [6][7] Confidentiality Obligations - Insider information personnel are required to maintain confidentiality and are prohibited from disclosing or using insider information for trading purposes before it is publicly disclosed [10][12] - The company must ensure that the number of individuals with access to insider information is minimized and that confidentiality agreements are in place when necessary [12][13] Accountability and Penalties - The company will impose administrative and economic penalties on insider information personnel who violate confidentiality obligations or engage in insider trading [14][15] - Any significant breaches that result in serious consequences for the company may lead to legal action against the responsible individuals [14][15]
上海沿浦: 上海沿浦精工科技(集团)股份有限公司内幕信息知情人登记管理制度
Zheng Quan Zhi Xing· 2025-06-25 16:47
上海沿浦精工科技(集团)股份有限公司 内幕信息知情人登记管理制度 第一章 总则 第一条 为了进一步规范上海沿浦精工科技(集团)股份有限公司(以下 简称"公司")内幕信息管理行为,加强公司内幕信息保密工作,维护信息披 露公平原则,根据《中华人民共和国公司法》(以下简称"《公司法》")、 《中华人民共和国证券法》(以下简称"《证券法》")、《上市公司信息披 露管理办法》《上市公司监管指引第 5 号——上市公司内幕信息知情人登记管 理制度》《上海证券交易所上市公司自律监管指引第 2 号——信息披露事务管 理》《上海证券交易所股票上市规则》等相关法律法规以及《上海沿浦精工科 技(集团)股份有限公司章程》(以下简称"《公司章程》")、《上海沿浦 精工科技(集团)股份有限公司信息披露管理办法》的规定,并结合本公司实 际情况,制定本制度。 第二条 公司及下属各部门、分公司、控股子公司及公司能够对其实施重 大影响的参股公司管理及报送内幕信息知情人相关信息,适用本制度。 第三条 公司董事会是内幕信息的管理机构,董事长是内幕信息保密工作 的负责人,董事会秘书负责组织实施内幕信息的保密工作和内幕信息知情人登 记入档事宜。董事会应当 ...
中兰环保: 内幕信息知情人登记管理制度(2025年6月)
Zheng Quan Zhi Xing· 2025-06-24 19:03
Core Points - The article outlines the insider information management system of Zhonglan Environmental Technology Co., Ltd, emphasizing the importance of confidentiality and proper management of insider information to protect investors' rights [1][2][3] Group 1: General Provisions - The system is established to enhance the management of insider information and ensure compliance with relevant laws and regulations, including the Company Law and Securities Law of the People's Republic of China [1][2] - The system applies to all departments, subsidiaries, and companies under the control of Zhonglan Environmental Technology Co., Ltd [1][2] Group 2: Management Responsibilities - The Board of Directors is responsible for managing insider information, ensuring the accuracy and completeness of insider information records, with the Chairman being the primary responsible person [2][3] - Any disclosure of insider information requires prior approval from the Board of Directors, and all related documents must be reviewed by the Board Secretary [2][3] Group 3: Definition of Insider Information - Insider information refers to any information related to the company's operations, finances, or significant events that could materially affect the price of the company's stock or bonds, which has not been publicly disclosed [3][4] - Specific events that constitute insider information include major changes in business strategy, significant asset transactions, and major debts or defaults [3][4] Group 4: Scope of Insider Information Recipients - Insider information recipients include company directors, senior management, shareholders holding more than 5% of shares, and other individuals who can access insider information due to their roles [5][6] - The system specifies that all parties involved in significant transactions or corporate actions must maintain insider information records [5][6] Group 5: Registration and Record-Keeping - The company must maintain a detailed record of insider information recipients, including the time, place, and manner in which they received the information [6][7] - The Board Secretary is responsible for organizing the registration and ensuring that records are kept for at least ten years [7][8] Group 6: Confidentiality Management - The company must limit the number of individuals who have access to insider information and ensure that confidentiality agreements are signed before sharing any non-public information [11][12] - Insider information recipients are prohibited from trading the company's securities or advising others to do so based on insider information [12][13] Group 7: Accountability and Penalties - Violations of the insider information management system can lead to disciplinary actions, including warnings, demotions, or termination of employment [14][15] - The company reserves the right to pursue legal action against individuals who leak insider information or engage in insider trading [14][15]