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Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

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Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82

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Deprecated: strpos(): Non-string needles will be interpreted as strings in the future. Use an explicit chr() call to preserve the current behavior in /www/wwwroot/4-17ll.com/label.php on line 82
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热点栏目自选股数据中心行情中心资金流向模拟交易客户端

  4月15日晚间,华设设计集团股份有限公司(以下简称“华设集团”)发布公告称,公司董事刘鹏因涉嫌短线交易被江苏证监局给予警告,并处以15万元罚款。

  往前回溯,2024年10月份,刘鹏收到中国证监会出具的《立案告知书》,中国证监会决定对刘鹏因涉嫌短线交易予以立案。2025年3月28日,刘鹏收到江苏证监局下发的《行政处罚事先告知书》。

  2025年4月15日,刘鹏收到江苏证监局下发的《行政处罚决定书》。经监管查明,刘鹏于2024年3月29日至2024年4月3日,控制使用其本人证券账户以及配偶王某证券账户,累计卖出“华设转债”7.32万张,成交金额882.19万元;累计买入“华设转债”3.66万张,成交金额455.52万元。

  江苏证监局认为,刘鹏的上述行为违反了证券法第四十四条第一款、第二款的规定,构成证券法第一百八十九条所述的短线交易行为。上述违法事实,有华设集团相关公告、相关人员询问笔录、证券账户资料、证券交易流水等证据证明,足以认定。

  根据其违法行为的事实、性质、情节与社会危害程度,江苏证监局决定对刘鹏给予警告,并处以15万元罚款。

  公开资料显示,该起短线交易违规行为当事人刘鹏于1990年7月份毕业后到江苏省交通规划设计院(华设集团前身)工作;2017年1月份起任华设集团董事、总经理;2022年10月份起任华设集团董事、总经理、党委书记;2023年1月份起任华设集团董事、党委书记。

  2024年7月22日,华设集团曾发布《关于公司董事及董事直系亲属可转债短线交易致歉的公告》称,公司及董事会高度重视,及时了解核查相关情况,刘鹏及其亲属均对上述违规行为深表歉意并积极配合核查。经查,本次短线交易的发生系刘鹏及其亲属未能正确理解可转债短线交易的相关法律法规规定,不存在主观故意违规情况。

  上海明伦律师事务所王智斌律师在接受《证券日报》记者采访时表示:“相较上市公司董监高亲属涉及短线交易,董监高本人涉嫌短线交易的主观意图更为明显,其对证券市场规则和秩序的破坏性更大。监管部门对高管短线交易行为予以处罚,对维护资本市场健康发展具有重要意义,体现了监管部门对证券市场违规行为的零容忍态度,有助于维护资本市场的秩序和公平性。”

  上海与梅管理咨询合伙企业合伙人沈萌对《证券日报》记者表示:“在严监管态势下,作为‘关键少数’的董监高仍出现违规短线交易,暴露出公司治理存在一定漏洞。对于违法交易,监管部门一直秉持零容忍态度。通过对当事人予以警告和罚款,可以起到警示震慑作用,促使其他上市公司及其董监高更加谨慎地遵守证券法规,避免类似行为的发生。”

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