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证监会:李友组织领导或实施了多项信披违法行为
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Topic: 证监会:李友组织领导或实施了多项信披违法行为 (Read 115 times)
Antnaone
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证监会:李友组织领导或实施了多项信披违法行为
May 13, 2017, 03:35:03 AM
#1
5月12日,证监会官网披露了对原方正集团首席执行官李友的市场禁入决定书,对李友采取终身证券市场禁入措施,自宣布决定之日起,终身不得从事证券业务或者担任上市公司董事、监事、高级管理人员职务。
据决定书,李友,男,1964年7月出生,2003年至2006年任北大方正集团有限公司(以下简称“方正集团”)董事、执行总裁,2006年至2013年1月任方正集团董事、首席执行官,2013年1月至2015年1月任方正集团董事、执行委员会主席、首席执行官。
证监会调查后认定方正集团存在多个问题,具体包括:
首先,方正集团及方正证券其他股东隐瞒关联关系,未配合方正证券履行信息披露义务。方正集团与利德科技、西藏昭融、西藏容大之间存在关联关系,方正集团及利德科技、西藏昭融、西藏容大未按规定报告关联关系,方正证券未按规定披露方正集团与利德科技、西藏昭融、西藏容大的关联关系。
其次,方正集团未将签署补充协议的相关情况告知方正证券,未配合方正证券履行信息披露义务。
第三,方正集团、武汉国兴科技发展有限公司未按规定披露持有方正科技(600601)股票。
证监会表示,李友2003年至2006年任方正集团董事、执行总裁,2006年至2013年1月任方正集团董事、首席执行官,2013年1月至2015年1月任方正集团董事、执行委员会主席、首席执行官,是对方正集团上述违法行为直接负责的主管人员。
证监会认为,李友组织、策划、领导或者实施了上述多项信息披露违法行为,承担主要责任,其行为性质特别恶劣,违法情节特别严重。
据此,证监会决定:对李友采取终身证券市场禁入措施,自证监会宣布决定之日起,终身不得从事证券业务或者担任上市公司董事、监事、高级管理人员职务。
与此同时,证监会也披露了对余丽的市场禁入决定书。
余丽,女,1966年3月出生,时任中国高科(600730)董事长兼任北大资源集团有限公司(以下简称北大资源)总裁。
证监会调查认定,在中国高科案和北大医药案两案中,余丽均为直接负责的主管人员,在信息披露违法行为中承担主要责任;在方正证券案中,余丽为方正集团董事、高级副总裁、首席财务官同时兼任方正证券董事,刻意隐瞒相关应披露事项为其他直接责任人员。余丽同时涉及多项信息披露违法行为,性质较为恶劣,情节较为严重。决定对余丽采取10年证券市场禁入措施,自宣布决定之日起,在禁入期间内,不得从事证券业务或者担任上市公司董事、监事、高级管理人员职务。
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