據上(shang)(shang)交(jiao)所消息,該所在(zai)日常監(jian)管中(zhong)發現大(da)連(lian)(lian)控股(gu)及(ji)其(qi)控股(gu)股(gu)東大(da)連(lian)(lian)長(chang)富瑞(rui)華集團(tuan)有限公(gong)(gong)司(si),以及(ji)相關責(ze)(ze)任(ren)(ren)人存在(zai)多項違規事(shi)(shi)實(shi),且情節較(jiao)為(wei)惡劣,決定對大(da)連(lian)(lian)控股(gu)、長(chang)富瑞(rui)華和實(shi)際控制人及(ji)時任(ren)(ren)董事(shi)(shi)長(chang)代(dai)威(已辭(ci)職)、董事(shi)(shi)長(chang)華韡(代(dai)行董秘職責(ze)(ze))、總經(jing)理(li)高寧(已辭(ci)職)和肖賢輝、財務總監(jian)周成林予以公(gong)(gong)開譴責(ze)(ze),對董事(shi)(shi)會審計委員(yuan)會召集人蘭書先予以通(tong)報(bao)(bao)批評(ping),并公(gong)(gong)開認定代(dai)威、華韡3年內不適合擔任(ren)(ren)上(shang)(shang)市(shi)(shi)公(gong)(gong)司(si)董事(shi)(shi)、監(jian)事(shi)(shi)、高級管理(li)人員(yuan)。此項紀律(lv)處(chu)分將通(tong)報(bao)(bao)中(zhong)國(guo)證監(jian)會和大(da)連(lian)(lian)市(shi)(shi)人民政府,并記入上(shang)(shang)市(shi)(shi)公(gong)(gong)司(si)誠信檔案。
信披頻頻違規 公司治理混亂
據(ju)查,大(da)連控(kong)股(gu)與(yu)控(kong)股(gu)股(gu)東子公(gong)司(si)及公(gong)司(si)下(xia)屬子公(gong)司(si)存在多筆關聯擔保違規情(qing)形。
2014年(nian)5月(yue)(yue)16日(ri),公(gong)司(si)控(kong)股(gu)(gu)股(gu)(gu)東(dong)大(da)(da)(da)(da)連(lian)(lian)(lian)大(da)(da)(da)(da)顯集團有(you)限公(gong)司(si)(2015年(nian)12月(yue)(yue)更名為(wei)大(da)(da)(da)(da)連(lian)(lian)(lian)長(chang)富(fu)(fu)瑞(rui)華集團有(you)限公(gong)司(si))與(yu)陳某(mou)(mou)、代威簽(qian)訂《投資(zi)(zi)協議書》,陳某(mou)(mou)向長(chang)富(fu)(fu)瑞(rui)華提(ti)供資(zi)(zi)金(jin)1.5億(yi)元(yuan)(后于5月(yue)(yue)23日(ri)變更為(wei)1.4億(yi)元(yuan)),大(da)(da)(da)(da)連(lian)(lian)(lian)控(kong)股(gu)(gu)對(dui)陳某(mou)(mou)提(ti)供擔保(bao)(bao),并開具15張合(he)計3億(yi)元(yuan)轉賬(zhang)支(zhi)(zhi)票作(zuo)為(wei)履約保(bao)(bao)證(zheng)(簡稱“支(zhi)(zhi)票擔保(bao)(bao)案”);2014年(nian)8月(yue)(yue),大(da)(da)(da)(da)連(lian)(lian)(lian)控(kong)股(gu)(gu)為(wei)長(chang)富(fu)(fu)瑞(rui)華的控(kong)股(gu)(gu)子(zi)公(gong)司(si)中(zhong)國有(you)色金(jin)屬工(gong)業再(zai)生(sheng)資(zi)(zi)源有(you)限公(gong)司(si)提(ti)供3000萬元(yuan)擔保(bao)(bao);2015年(nian)9月(yue)(yue),大(da)(da)(da)(da)連(lian)(lian)(lian)控(kong)股(gu)(gu)與(yu)廣發銀(yin)行宣(xuan)武門支(zhi)(zhi)行簽(qian)訂《最高額(e)保(bao)(bao)證(zheng)合(he)同》,為(wei)中(zhong)再(zai)資(zi)(zi)源的1.5億(yi)元(yuan)后續綜合(he)授信業務(wu)提(ti)供擔保(bao)(bao);2015年(nian)3月(yue)(yue)5日(ri),控(kong)股(gu)(gu)子(zi)公(gong)司(si)大(da)(da)(da)(da)連(lian)(lian)(lian)福美貴金(jin)屬貿易有(you)限公(gong)司(si)與(yu)渤海銀(yin)行大(da)(da)(da)(da)連(lian)(lian)(lian)分行簽(qian)訂兩份權利(li)質押(ya)協議,公(gong)司(si)提(ti)供募(mu)集資(zi)(zi)金(jin)4.59億(yi)元(yuan)對(dui)控(kong)股(gu)(gu)股(gu)(gu)東(dong)的債務(wu)進(jin)行質押(ya)擔保(bao)(bao)。2015年(nian)5月(yue)(yue)25日(ri),解除金(jin)額(e)3.75億(yi)元(yuan),剩余質押(ya)金(jin)額(e)8400萬元(yuan)。
根據上(shang)交所《股(gu)票上(shang)市規則(ze)》,上(shang)市公(gong)司(si)為關聯人提供擔保的(de),無論數(shu)額(e)大(da)(da)小(xiao),均(jun)應當履(lv)行董(dong)事會(hui)(hui)、股(gu)東(dong)(dong)大(da)(da)會(hui)(hui)決策(ce)程序,并及(ji)時(shi)披露。公(gong)司(si)為控股(gu)股(gu)東(dong)(dong)子(zi)公(gong)司(si)及(ji)公(gong)司(si)下(xia)屬子(zi)公(gong)司(si)等關聯方提供的(de)擔保金額(e)巨大(da)(da),但均(jun)未經公(gong)司(si)董(dong)事會(hui)(hui)與(yu)股(gu)東(dong)(dong)大(da)(da)會(hui)(hui)審議,亦未及(ji)時(shi)對外披露。
此外,大(da)連控(kong)股(gu)還涉及多項(xiang)重大(da)訴訟、仲(zhong)裁(cai)事項(xiang),涉案金額巨大(da),且公(gong)司多個銀行(xing)賬(zhang)戶已被法(fa)院凍結,情節嚴重,但(dan)均(jun)未(wei)及時對外披(pi)露。
拒不配合監管要求 董秘長期空缺
2016年(nian)12月(yue)1日,上交所監(jian)管部(bu)門向公司(si)出具(ju)《關(guan)于督(du)促大連大福(fu)控(kong)股股份有(you)限公司(si)限期整(zheng)(zheng)改的監(jian)管工(gong)作函》,要求公司(si)核實募(mu)集資金凍結(jie)、違規擔保及訴訟(song)相關(guan)事項,并予以(yi)整(zheng)(zheng)改。同時要求公司(si)披(pi)露(lu)監(jian)管函件(jian)內容,但公司(si)拒不履(lv)行信(xin)息(xi)披(pi)露(lu)義務。鑒于公司(si)拒不披(pi)露(lu)工(gong)作函件(jian),監(jian)管部(bu)門于當日對工(gong)作函予以(yi)公開通報。
經核(he)實,公(gong)(gong)司董(dong)事會秘(mi)書(shu)(shu)職位自2015年4月(yue)以(yi)來(lai)一直空缺,長期由董(dong)事長華韡(wei)代行(xing)董(dong)秘(mi)職責(ze)。期間,公(gong)(gong)司屢次(ci)出現信息披(pi)(pi)露滯(zhi)后的情形。為此(ci),上交所監(jian)管部(bu)(bu)門(men)以(yi)口頭及書(shu)(shu)面(mian)發函形式多(duo)(duo)次(ci)督(du)促公(gong)(gong)司改(gai)進,但公(gong)(gong)司至今(jin)仍(reng)未(wei)聘任董(dong)事會秘(mi)書(shu)(shu)。同(tong)時(shi),監(jian)管部(bu)(bu)門(men)因公(gong)(gong)司信息披(pi)(pi)露工作,多(duo)(duo)次(ci)撥打董(dong)事長華韡(wei)(代行(xing)董(dong)秘(mi)職責(ze))的電話,但其多(duo)(duo)次(ci)未(wei)能接聽,亦未(wei)主動與交易所聯(lian)系。公(gong)(gong)司未(wei)建立信息披(pi)(pi)露有效制(zhi)度,聯(lian)系機制(zhi)不順暢。
上(shang)(shang)交(jiao)所(suo)表示(shi),公(gong)(gong)(gong)司(si)(si)(si)(si)(si)關聯擔(dan)(dan)保未履行(xing)(xing)(xing)信(xin)息披(pi)(pi)露義(yi)務和審議(yi)程序、重(zhong)(zhong)大訴訟(song)及(ji)仲裁未及(ji)時披(pi)(pi)露、重(zhong)(zhong)大資(zi)產重(zhong)(zhong)組(zu)內幕(mu)知(zhi)情(qing)人(ren)(ren)(ren)填報及(ji)信(xin)息披(pi)(pi)露違(wei)(wei)規(gui)(gui)、未建立信(xin)息披(pi)(pi)露有(you)效聯系機制(zhi)且不(bu)配合監(jian)管(guan)工(gong)作,業(ye)績預(yu)告披(pi)(pi)露違(wei)(wei)規(gui)(gui),違(wei)(wei)反了(le)《股(gu)票上(shang)(shang)市規(gui)(gui)則》《重(zhong)(zhong)組(zu)信(xin)息披(pi)(pi)露及(ji)停復(fu)牌業(ye)務指引》《重(zhong)(zhong)大事項停復(fu)牌業(ye)務指引》的(de)相關規(gui)(gui)定;公(gong)(gong)(gong)司(si)(si)(si)(si)(si)控股(gu)股(gu)東長(chang)富瑞華在(zai)明(ming)知(zhi)上(shang)(shang)市公(gong)(gong)(gong)司(si)(si)(si)(si)(si)關聯擔(dan)(dan)保未履行(xing)(xing)(xing)決(jue)(jue)策程序的(de)情(qing)況下(xia),多(duo)次接受公(gong)(gong)(gong)司(si)(si)(si)(si)(si)為(wei)(wei)其提供的(de)巨額擔(dan)(dan)保,并導(dao)致公(gong)(gong)(gong)司(si)(si)(si)(si)(si)因擔(dan)(dan)保責(ze)任(ren)(ren)涉及(ji)多(duo)起重(zhong)(zhong)大訴訟(song),嚴(yan)重(zhong)(zhong)影(ying)響了(le)公(gong)(gong)(gong)司(si)(si)(si)(si)(si)的(de)日常經(jing)(jing)營(ying),其行(xing)(xing)(xing)為(wei)(wei)嚴(yan)重(zhong)(zhong)違(wei)(wei)反了(le)《上(shang)(shang)海證(zheng)券交(jiao)易所(suo)上(shang)(shang)市公(gong)(gong)(gong)司(si)(si)(si)(si)(si)控股(gu)股(gu)東、實(shi)際(ji)控制(zhi)人(ren)(ren)(ren)行(xing)(xing)(xing)為(wei)(wei)指引》的(de)有(you)關規(gui)(gui)定;公(gong)(gong)(gong)司(si)(si)(si)(si)(si)實(shi)際(ji)控制(zhi)人(ren)(ren)(ren)代威違(wei)(wei)反誠實(shi)守(shou)信(xin)原則,不(bu)遵(zun)守(shou)公(gong)(gong)(gong)司(si)(si)(si)(si)(si)決(jue)(jue)策程序和內控制(zhi)度,擅自(zi)使用公(gong)(gong)(gong)司(si)(si)(si)(si)(si)公(gong)(gong)(gong)章、以公(gong)(gong)(gong)司(si)(si)(si)(si)(si)名(ming)義(yi)對外簽(qian)訂多(duo)份擔(dan)(dan)保協議(yi),嚴(yan)重(zhong)(zhong)損害公(gong)(gong)(gong)司(si)(si)(si)(si)(si)利益,其行(xing)(xing)(xing)為(wei)(wei)嚴(yan)重(zhong)(zhong)違(wei)(wei)反了(le)《控股(gu)股(gu)東、實(shi)際(ji)控制(zhi)人(ren)(ren)(ren)行(xing)(xing)(xing)為(wei)(wei)指引》的(de)有(you)關規(gui)(gui)定,違(wei)(wei)規(gui)(gui)性質(zhi)極其惡劣(lie);時任(ren)(ren)董事長(chang)華韡(代行(xing)(xing)(xing)董秘職責(ze))作為(wei)(wei)公(gong)(gong)(gong)司(si)(si)(si)(si)(si)的(de)主要管(guan)理人(ren)(ren)(ren)和信(xin)息披(pi)(pi)露事務負(fu)(fu)責(ze)人(ren)(ren)(ren),未勤勉(mian)履職,對公(gong)(gong)(gong)司(si)(si)(si)(si)(si)治理混亂、內控失靈和信(xin)披(pi)(pi)失控等違(wei)(wei)規(gui)(gui)行(xing)(xing)(xing)為(wei)(wei)負(fu)(fu)有(you)不(bu)可推卸(xie)的(de)責(ze)任(ren)(ren),其行(xing)(xing)(xing)為(wei)(wei)嚴(yan)重(zhong)(zhong)違(wei)(wei)反了(le)《股(gu)票上(shang)(shang)市規(gui)(gui)則》及(ji)其在(zai)《董事、高級(ji)管(guan)理人(ren)(ren)(ren)員聲(sheng)明(ming)及(ji)承諾(nuo)書》中(zhong)做(zuo)出(chu)的(de)承諾(nuo);時任(ren)(ren)總經(jing)(jing)理高寧和肖賢輝(hui)、財(cai)務總監(jian)周成林(lin)、董事會(hui)審計委員會(hui)召(zhao)集人(ren)(ren)(ren)蘭書先,亦(yi)未勤勉(mian)盡(jin)責(ze),對公(gong)(gong)(gong)司(si)(si)(si)(si)(si)前述違(wei)(wei)規(gui)(gui)亦(yi)負(fu)(fu)有(you)一定責(ze)任(ren)(ren),其行(xing)(xing)(xing)為(wei)(wei)違(wei)(wei)反了(le)《股(gu)票上(shang)(shang)市規(gui)(gui)則》及(ji)其在(zai)《董事、高級(ji)管(guan)理人(ren)(ren)(ren)員聲(sheng)明(ming)及(ji)承諾(nuo)書》中(zhong)做(zuo)出(chu)的(de)承諾(nuo)。
中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)聲明(ming):凡(fan)本網(wang)(wang)(wang)注明(ming)“來(lai)源:中(zhong)(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)報·中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)”的所有作品(pin),版權(quan)均(jun)屬于中(zhong)(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)報、中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)。中(zhong)(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)報·中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)與(yu)作品(pin)作者(zhe)聯合聲明(ming),任何組織未(wei)經中(zhong)(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)報、中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)以及作者(zhe)書面(mian)授權(quan)不(bu)得轉載(zai)、摘編或(huo)利用其(qi)它方(fang)式使用上(shang)述作品(pin)。凡(fan)本網(wang)(wang)(wang)注明(ming)來(lai)源非中(zhong)(zhong)(zhong)(zhong)國(guo)證(zheng)(zheng)(zheng)券(quan)(quan)(quan)報·中(zhong)(zhong)(zhong)(zhong)證(zheng)(zheng)(zheng)網(wang)(wang)(wang)的作品(pin),均(jun)轉載(zai)自其(qi)它媒體,轉載(zai)目的在于更好服(fu)務讀者(zhe)、傳遞信息之需,并不(bu)代表(biao)本網(wang)(wang)(wang)贊同其(qi)觀點,本網(wang)(wang)(wang)亦不(bu)對其(qi)真實(shi)性負責,持異(yi)議者(zhe)應與(yu)原出處單(dan)位(wei)主張權(quan)利。
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