昨天宣布(bu)擬籌備北交所(suo)上市的新三板(ban)公司亞太天能，今(jin)天就為昨天的違規行(xing)為接到了一張“黃牌警(jing)告”。

　　全國(guo)股(gu)轉公(gong)(gong)(gong)司8日(ri)披(pi)(pi)(pi)露，經查明，亞(ya)太(tai)(tai)天(tian)能(neng)(neng)存在以下違規(gui)事(shi)實(shi)(shi)：2021年9月7日(ri)，亞(ya)太(tai)(tai)天(tian)能(neng)(neng)披(pi)(pi)(pi)露《關于(yu)籌(chou)備股(gu)票(piao)(piao)公(gong)(gong)(gong)開發行并(bing)在證(zheng)(zheng)(zheng)券交(jiao)易所(suo)上(shang)市(shi)相關工作的(de)(de)提示性公(gong)(gong)(gong)告》，擬(ni)籌(chou)備啟(qi)動面(mian)向不(bu)特定(ding)合(he)格(ge)投(tou)資(zi)者(zhe)公(gong)(gong)(gong)開發行股(gu)票(piao)(piao)并(bing)在北京證(zheng)(zheng)(zheng)券交(jiao)易所(suo)上(shang)市(shi)的(de)(de)相關事(shi)項。亞(ya)太(tai)(tai)天(tian)能(neng)(neng)2019年及(ji)2020年財務(wu)數據不(bu)符(fu)合(he)《全國(guo)中小(xiao)企業股(gu)份轉讓(rang)(rang)系統(tong)分(fen)層(ceng)管理辦法》中申(shen)(shen)請公(gong)(gong)(gong)開發行并(bing)進入精選(xuan)層(ceng)的(de)(de)財務(wu)指標(biao)，亦不(bu)符(fu)合(he)《北京證(zheng)(zheng)(zheng)券交(jiao)易所(suo)股(gu)票(piao)(piao)上(shang)市(shi)規(gui)則（試(shi)行）》（征求(qiu)(qiu)意見稿）中申(shen)(shen)請向不(bu)特定(ding)合(he)格(ge)投(tou)資(zi)者(zhe)公(gong)(gong)(gong)開發行股(gu)票(piao)(piao)并(bing)在北京證(zheng)(zheng)(zheng)券交(jiao)易所(suo)上(shang)市(shi)的(de)(de)財務(wu)指標(biao)。亞(ya)太(tai)(tai)天(tian)能(neng)(neng)的(de)(de)上(shang)述(shu)行為(wei)(wei)違反了《全國(guo)中小(xiao)企業股(gu)份轉讓(rang)(rang)系統(tong)掛牌公(gong)(gong)(gong)司信息披(pi)(pi)(pi)露規(gui)則》規(gui)定(ding)，構成(cheng)信息披(pi)(pi)(pi)露違規(gui)。針對(dui)上(shang)述(shu)違規(gui)行為(wei)(wei)，時任(ren)(ren)董事(shi)長王長海(hai)、時任(ren)(ren)董事(shi)會秘(mi)書劉韋(wei)(wei)求(qiu)(qiu)未能(neng)(neng)忠實(shi)(shi)、勤(qin)勉(mian)地(di)履行職責，未能(neng)(neng)保(bao)證(zheng)(zheng)(zheng)公(gong)(gong)(gong)司信息披(pi)(pi)(pi)露的(de)(de)真實(shi)(shi)、準確(que)、完整、及(ji)時，違反了《全國(guo)中小(xiao)企業股(gu)份轉讓(rang)(rang)系統(tong)業務(wu)規(gui)則（試(shi)行）》規(gui)定(ding)。鑒于(yu)上(shang)述(shu)違規(gui)事(shi)實(shi)(shi)和(he)情節，對(dui)亞(ya)太(tai)(tai)天(tian)能(neng)(neng)采(cai)取(qu)出(chu)具警示函(han)的(de)(de)自律監管措施(shi)(shi)。對(dui)王長海(hai)、劉韋(wei)(wei)求(qiu)(qiu)采(cai)取(qu)出(chu)具警示函(han)的(de)(de)自律監管措施(shi)(shi)。

　　全(quan)國股(gu)轉公司特此告誡公司及相關責任主體，應(ying)當充(chong)分(fen)重(zhong)視上述問題(ti)并吸(xi)取教訓，杜絕類似問題(ti)再次發生。否則(ze)，全(quan)國股(gu)轉中心將對其進一步(bu)采取自律監管措施或給予(yu)紀律處分(fen)。