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Source: bread Finance
Editor's note: some opinions of the State Council on strengthening supervision and preventing risks to promote the high-quality development of the capital market pointed out that the joint crackdown on securities and futures crimes should be intensified. We will increase administrative, civil and criminal accountability, and strictly investigate and deal with all kinds of violations of laws and regulations in accordance with the law.
Recently, the Guangdong Securities Regulatory Bureau issued a decision to issue warning letters to Dongguan Securities and CITIC Securities. Dongguan Securities, as the listed sponsor of Quanwei Technology (rights protection), and CITIC Securities, as the continuous supervision institution of Quanwei Technology, are all involved in the financial fraud of Quanwei Technology's annual report in 2019 and semi-annual report in 2020.
Citic Securities and Dongguan Securities receive warning letters: Shequan falsifies science and technology finance
May 10th, Guangdong Securities Regulatory Bureau issued a decision on issuing warning letters to Dongguan Securities Co., Ltd., Yao Genfa and Yang Na (2024) No. 40) and on CITIC Securities Co., Ltd., Ling Peng, Pu Ruihang to take warning letter measures ((2024) 41).
The announcement shows that CITIC Securities Co., Ltd. (hereinafter referred to as CITIC Securities), as the continuous supervision body for the initial public offering of Guangdong Quanwei Science and Technology Co., Ltd. (formerly Guangdong National Science and Technology Co., Ltd.), there are the following violations in the process of continuous supervision: first, the relationship between customers and suppliers of xylene trading business is not fully verified. Second, the verification of the authenticity of p-xylene trade business is insufficient. Third, the examination of p-xylene business documents did not pay attention to the obvious difference between the shipping companies corresponding to the transport contract and the cabin measurement report. Fourth, the examination of p-xylene business documents did not pay attention to the obvious abnormality in the port of loading stipulated in the sales contract and charter party.
After investigation, Dongguan Securities Co., Ltd. (hereinafter referred to as Dongguan Securities) is a sponsor for the initial public offering of shares of Guangdong Quanwei Science and Technology Co., Ltd. (formerly Guangdong National Science and Technology Co., Ltd.). In the process of continuous supervision, there are the following violations: first, the authenticity of large capital transactions of listed companies has not been carefully verified. Second, failed to complete the 2019 on-site inspection report as required.
Spring for science and technology: keeping false records in financial statements
According to public data, Quanwei Technology was listed on the growth Enterprise Market of Shenzhen Stock Exchange on November 9, 2017, and is mainly engaged in the research and development, production, sales and technical services of modified environmentally friendly rubber and plastic materials.
In May 2024, Quanwei received public condemnation from the Shenzhen Stock Exchange for the science and technology announcement. According to the Administrative penalty decision of Guangdong Securities Regulatory Bureau, the company falsely increased its business income by 556 in 2019.Infinitypoker, 924983Infinitypoker.89 yuan and operating cost 552210788.51 yuan, accounting for 21.40% and 23.36% of the operating income and operating cost recorded in the current report, respectively. In the first half of 2020, there was a false increase of 343787557.02 yuan in business income and 340388234.97 yuan in operating cost, accounting for 28.97% and 33.33% of the operating income and operating cost recorded in the current report, respectively.
In accordance with the measures for the Administration of the Business of sponsors for Securities issuance and listing, sponsor institutions, their sponsor representatives and theirInfinitypokerHis personnel engaged in the recommendation business shall abide by the laws and administrative regulations and the relevant provisions of the China Securities Regulatory Commission, the Stock Exchange and the China Securities Association, abide by the business rules and industry norms, be honest and trustworthy, be diligent and conscientious, and practice incorruptly, dutifully recommend the issuance and listing of securities by issuers, and continue to supervise issuers to perform their obligations such as standard operation, abiding by promises, information disclosure and so on.
There are violations in the process of continuous supervision, are the risk control compliance teams of CITIC Securities and Dongguan Securities diligent and responsible, and whether the company's internal control is in compliance? How should senior executives such as chairman, general manager and compliance officer plug the loophole in risk control?
