2月7日,京(jing)西(xi)創業(ye)發布(bu)公告稱,公司(si)實(shi)際控(kong)制(zhi)人(ren)晁龍及其(qi)控(kong)制(zhi)的企業(ye)深圳華彩京(jing)西(xi)物聯(lian)投資管理企業(ye)(普通合伙(huo))(以下(xia)簡稱“京(jing)西(xi)物聯(lian)”)因超比(bi)例持(chi)股京(jing)西(xi)創業(ye)時未按(an)規定披露信息和限(xian)制(zhi)期(qi)內(nei)買賣股票,被中(zhong)國證(zheng)監(jian)會北京(jing)證(zheng)監(jian)局出具行政處罰(fa)決定書。
北京(jing)證(zheng)監局(ju)認為晁(chao)龍及(ji)京(jing)西物聯違反了《非上(shang)(shang)市公(gong)眾公(gong)司收購管理(li)辦法(fa)》第(di)(di)(di)(di)(di)十(shi)(shi)三條第(di)(di)(di)(di)(di)二款,對《非上(shang)(shang)市公(gong)眾公(gong)司收購管理(li)辦法(fa)》第(di)(di)(di)(di)(di)十(shi)(shi)三條第(di)(di)(di)(di)(di)一(yi)款第(di)(di)(di)(di)(di)二項和(he)第(di)(di)(di)(di)(di)二款理(li)解有誤,且不(bu)符合(he)《行(xing)(xing)政處罰(fa)法(fa)》第(di)(di)(di)(di)(di)二十(shi)(shi)七條從輕(qing)處罰(fa)的情節。根據《國務院關(guan)于全國中小(xiao)企業(ye)股(gu)份轉讓系統有關(guan)問題的決定(ding)》(國發《2013》49號)第(di)(di)(di)(di)(di)五(wu)條和(he)《非上(shang)(shang)市公(gong)眾公(gong)司收購管理(li)辦法(fa)》第(di)(di)(di)(di)(di)三十(shi)(shi)七條,比照《證(zheng)券法(fa)》第(di)(di)(di)(di)(di)一(yi)百九十(shi)(shi)三條第(di)(di)(di)(di)(di)二款和(he)第(di)(di)(di)(di)(di)二百零四條的規定(ding),北京(jing)證(zheng)監局(ju)決定(ding)責令京(jing)西物聯改正違法(fa)行(xing)(xing)為,并給予警(jing)告(gao)、罰(fa)款150萬元;對實際控(kong)制人(ren)晁(chao)龍給予警(jing)告(gao),并處以10萬元罰(fa)款。