因未如实告知宝新能源相关股份代持情况，以及部分代持股份出售涉及违规减持，叶华能拟被给予警告 并合计罚没3754.29万元。 公告显示，2017年1月，叶华能决策将宝丽华集团持有的1.11亿股宝新能源股权（占总股本5.11%）转让 至宁远喜名下代持，却未向上市公司如实披露该代持情况，拟被警告并罚款200万元，宁远喜同步收到 处罚告知书。此外，2021年12月20日至27日期间，上述部分代持股份被出售构成违规减持，减持比例 1.1%、涉及金额1.41亿元，叶华能因负有相关责任，拟被警告、没收违法所得2554.29万元，并罚款 1000万元。 中经记者 陈家运 北京报道 12月3日，宝新能源（000690.SZ）发布公告称，公司实际控制人叶华能于12月2日收到中国证监会广东 监管局两份《行政处罚事先告知书》。 宝新能源在公告中表示，此次处罚与上市公司及现任董监高无关，不影响公司正常生产经营，且不触及 重大违法强制退市情形。 （编辑：董曙光 审核：吴可仲 校对：颜京宁） ...

Core Viewpoint - The core issue revolves around the administrative penalties imposed on the actual controller of Baoneng New Energy, Ye Huanneng, for failing to disclose shareholding arrangements and engaging in illegal share reductions, which has raised concerns about corporate governance and compliance within the company [1][2]. Group 1: Regulatory Actions - Ye Huanneng received a warning and a fine of 2 million yuan from the Guangdong Securities Regulatory Bureau for not disclosing the shareholding arrangement of Baoneng New Energy [1]. - The illegal share reduction involved a 1.1% reduction of shares, amounting to 141 million yuan, during the period from December 20 to December 27, 2021 [1]. - The regulatory body also plans to confiscate illegal gains of 25.5429 million yuan and impose an additional fine of 10 million yuan on Ye Huanneng [1]. Group 2: Company Operations - Baoneng New Energy stated that the regulatory issues do not involve current directors or senior management and will not affect the company's normal production and operational activities [2]. - The company’s operational status remains normal despite the ongoing regulatory scrutiny [2]. Group 3: Background Information - In April of the previous year, Baoneng New Energy issued a correction and apology regarding Ye Huanneng's acquisition of Hong Kong residency and the shareholding arrangement [3]. - The former chairman, Ning Yuanxi, along with the former general manager of Baoli Group, was previously convicted of embezzlement but is currently undergoing a retrial due to unclear facts in the original judgment [3][4]. - The retrial of Ning Yuanxi's case has drawn significant attention, with court proceedings lasting 46 days and extending the review period until December 11 [4].

Group 1 - The core issue revolves around allegations of financial fraud against Huaxi Biological, initiated by a former employee who claims the company and its controlling shareholder engaged in deceptive practices [1][2] - Huaxi Biological responded by stating that the allegations were investigated during the IPO review process in 2019 and were found to be unfounded, with relevant disclosures made in the prospectus [2][3] - The former employee, referred to as Li, claims that the accusations against him regarding embezzlement are false and that he reported the company for financial misconduct [1][3] Group 2 - The allegations include claims that Huaxi Xinyu Investment, the controlling shareholder, concealed the fact of holding 30 million shares of Jinzhou Bank and committed fraud during bond issuance [1][3] - As of the first quarter of 2025, Huaxi Xinyu holds 283.5 million shares of Huaxi Biological, representing a 58.86% ownership stake [1] - In 2020, the Beijing Securities Regulatory Bureau issued a warning letter to Huaxi Xinyu for inaccuracies in financial data disclosed during the issuance of exchangeable bonds [2] Group 3 - The former employee asserts that the warning letter from the regulatory body was a result of his whistleblowing, providing partial evidence to the regulatory authorities [3] - The allegations also include claims of significant omissions in the documentation submitted during Jinzhou Bank's IPO in December 2015, where Huaxi Xinyu allegedly made false commitments regarding shareholding [3] - Huaxi Biological's prospectus states that Huaxi Xinyu's shareholding was below 5%, thus not classified as a major shareholder and not obligated to disclose information during the overseas listing process [3][4]

Core Viewpoint - The article discusses allegations of financial fraud against Huaxi Biological (688363.SH) and its controlling shareholder, Huaxi Xinyu Investment Co., Ltd. The company has denied these allegations and claims that the accuser has a history of embezzlement [1][2]. Group 1: Allegations and Responses - A former employee, referred to as Mr. Li, accused Huaxi Biological of financial fraud, including concealing the holding of 30 million shares of Jinzhou Bank and fabricating revenue and inflated expenses in 2017 [1][4]. - Huaxi Biological issued a statement claiming that Mr. Li had previously committed embezzlement and that his allegations are unfounded [1][2]. - The company stated that Mr. Li had reported similar accusations during the IPO review process in 2019, which were investigated and found to be false [2]. Group 2: Financial Practices and Regulatory Actions - Huaxi Xinyu issued exchangeable bonds in May 2017, and the financial data disclosed during this process was later found to be inaccurate, leading to a warning from the Beijing Securities Regulatory Bureau [3]. - The warning was linked to Mr. Li's allegations, as he provided evidence to the regulatory body [4]. - Huaxi Xinyu's financial practices included adjustments to costs and expenses based on actual business conditions, which were reported in compliance with tax regulations [2]. Group 3: Shareholding and Legal Disputes - As of the first quarter of 2025, Huaxi Xinyu holds 283.5 million shares of Huaxi Biological, representing a 58.86% stake [1]. - There have been legal disputes related to the shareholding of Jinzhou Bank, where Huaxi Xinyu was involved in a lawsuit concerning the holding of 30 million shares on behalf of another entity [5].

Core Viewpoint - Jiangxi Biological Products Research Institute Co., Ltd. has submitted an application for listing on the Hong Kong Stock Exchange, raising questions about its ownership structure and potential conflicts of interest due to significant shareholding concentration and related party transactions [1][9]. Company Background - Jiangxi Biological was established in 1969 and is the largest provider of human tetanus antitoxin globally, holding market shares of 65.8% in China and 36.6% worldwide as of 2024 [2]. - The company has a strong focus on the production and sale of human tetanus antitoxin, which accounted for 93.9%, 93.0%, and 93.3% of total revenue in 2022, 2023, and 2024, respectively [2]. Financial Performance - The company has shown rapid growth, with total revenues increasing from 142 million yuan in 2022 to 221 million yuan in 2024, representing a compound annual growth rate (CAGR) of 24.7% [3]. - Profits have also increased significantly, from 26.5 million yuan in 2022 to 75.1 million yuan in 2024, with a CAGR of 68.5% [3]. Ownership Structure - The majority of the company's shares (over 76%) are controlled by a single individual, Jing Yue, a "post-90s" entrepreneur, raising concerns about the concentration of ownership [1][9]. - The ownership structure has undergone multiple changes, with significant transfers of shares to related parties, leading to approximately 87% to 94% of shares being controlled by related entities [9][10]. Related Party Transactions - The company has close relationships with its suppliers and customers, which may lead to potential conflicts of interest. For instance, major clients and suppliers have connections to the company's ownership structure [11][12]. - The involvement of related parties in shareholding and business transactions raises questions about the independence and fairness of these dealings, which could impact the company's financial integrity [14]. Regulatory Considerations - The company must meet the public shareholding requirement of at least 25% for its IPO, which may be challenging given the concentrated ownership [10]. - Regulatory scrutiny is expected regarding the fairness of share transfers and the independence of the company's operations, particularly in light of the significant related party transactions [10][14].

文/梧桐小编 12月9日晚，安徽证监局公布对中银国际证券股份有限公司及周培采取出具警示函措施的决定。经查，中银国际证券在负责铜陵天海流体控制股份有限公司推荐挂 牌和持续督导过程中，未能勤勉尽责履行审慎核查义务，对天海流体控股股东、实际控制人持股情况核查不充分。周培作为推荐挂牌项目负责人，对挂牌阶段尽 职调查工作负有责任。安徽证监局决定对中银国际证券、周培采取出具警示函的行政监管措施。 | 索 引 号 | | bm56000001/2024-00015441 | ਜੋ | 常 | 行政监管措施;行政执法 | | --- | --- | --- | --- | --- | --- | | 发布机构 | | | 发文日期 | | 2024年12月09日 | | ਲ | 称 | 关于对中银国际证券股份有限公司及周培采取出具警示函措施的决定 | | | | | 文 | 특 | 中国证券监督管理委员会安徽监管局行政监管措施决定书〔2024〕78号 | 主题词 | | | 公司挂牌时的主办券商为中银国际证券，项目小组负责人为周培。 2017年12月22日，中银国际证券与公司解除持续督导的协议，由招商证券开展持续督导工作并承 ...