Guanghui technology annual report for illegal and false records punished by Changjiang Securities

According to the decision on administrative punishment ([2020] No. 10) published on the website of Beijing regulatory bureau of China Securities Regulatory Commission on October 15, it is found that since November 30, 2015, Beijing Guanghui Hongtu Technology Co., Ltd. (hereinafter referred to as “Guanghui technology”, 834564) has, since November 30, 2015, published in the public transfer instructions, stock issuance report, 2015 semi annual report and 2015 semi annual report In the public disclosure documents such as annual report of 2016, semi annual report of 2016 (corrected), annual report of 2016 and semi annual report of 2017, it is disclosed that Yan and Li Zhiyong are shareholders of the company, and they are acting in concert and are the common actual controllers of the company. < p > < p > according to the investigation, before Guanghui technology was listed in the national small and medium-sized enterprise stock transfer system, Yan and Li Zhiyong were required by the former director and general manager of Guanghui Digital Technology Co., Ltd. (hereinafter referred to as “Guanghui digital”, now renamed as Beijing Guanghui Zhitong consulting Service Co., Ltd.), and Xin Yu, former chairman of Guanghui technology and former director of Guanghui digital , for Guanghui digital holding Guanghui technology shares, Yan and Li Zhiyong did not actually contribute, the actual investment was arranged by Guanghui digital. The disclosure information of Yan and Li Zhiyong’s shares in the above-mentioned public disclosure documents of Guanghui technology and the contents of Guanghui technology’s special note in 2015 annual report that “the company does not hold shares on behalf of others during the reporting period” are false records. < p > < p > from July 22, 2015 to August 18, 2016, Xin Yu was the chairman of Guanghui technology, and later was the director of Guanghui technology, signing all the above information disclosure documents; Li Zhiyong was the legal representative and general manager of Guanghui technology from July 22, 2015 to September 29, 2017, and the chairman of Guanghui technology on January 6, 2017, and signed all the above information disclosure documents; and Xingye on July 22, 2015 He was the director of Guanghui technology on August 18, 2016 and the chairman of Guanghui technology from August 18, 2016 to January 6, 2017. Xin Yu, Li Zhiyong and Xingye know about the arrangement of equity holding, and they are directly responsible for illegal information disclosure. < p > < p > Xin Xin was appointed as the Secretary of the board of directors of Guanghui technology on July 22, 2015, and signed all the above information disclosure documents. Knowing that the equity involved in the case is likely to be held on behalf of others, Xin Xin failed to perform the duties of the Secretary of the board of directors, actively carried out investigation, and failed to be diligent and conscientious. < / P > < p > the above behaviors violate the provisions of Article 20 of the measures for the supervision and administration of unlisted public companies (CSRC Order No. 96), and constitute the illegal acts mentioned in Article 60 of the measures for the supervision and administration of unlisted public companies (Order No. 96 of the CSRC). Xin Yu, Li Zhiyong and Xingye are the persons in charge directly responsible for the above behaviors, and Xin Xin is the other persons directly responsible. According to the provisions of Article 193 of the securities law of 2005, Beijing regulatory bureau decided: < / P > < p > according to the inquiry of China economic network reporter, Guanghui technology was established on February 13, 2012, and its main business scope is technology development, with a registered capital of 65.6 million yuan. The chairman of the board is Li Zhiyong; the legal representative and general manager are Yang Honghong; the controlling shareholders and actual controllers are Li Zhiyong and Yan Qin, with the shareholding ratio of 22.10% and 21.48%. According to the 2017 semi annual report of Guanghui technology, on April 23, 2015, Li Zhiyong and Yan Qin signed the “agreement on concerted action”. Li Zhiyong and Yan Qin jointly held 29 million shares of the company, accounting for 44.20% of the total share capital of the company. The majority shareholder of Guanghui technology is Guanghui digital, with a shareholding ratio of 30.45%. Xin Yu is the chairman of the board of directors and a shareholder with a shareholding ratio of 1.52%; Xingye is a shareholder with a shareholding ratio of 1.22%; Xin Xin is the Secretary of the board of directors. Guanghui digital was established on April 13, 2020 with a registered capital of US $2 million, and its legal representative is Zou Zhenhua. Guanghui digital is a wholly-owned subsidiary of brightecholdings (Hong Kong) Limited. < p > < p > Guanghui technology was listed on the new third board on December 14, 2015, and the sponsor securities company was Changjiang Securities. From June 8, 2020, Guanghui technology was terminated by the national stock transfer company. < p > < p > < p > < p > Article 9 of the guidelines for the continuous supervision of the sponsor securities companies of the national small and medium-sized enterprise stock transfer system (for Trial Implementation) stipulates that the sponsor securities company shall supervise the listed company to establish, improve and effectively implement the internal management system, including but not limited to the accounting system, financial management and risk control system, as well as external guarantee, major investment, entrusted financial management and related transactions The procedures and rules of large-scale business decision-making. On August 25, 2015, the company signed a recommendation agreement with Yangtze River Securities Co., Ltd The sponsor securities company listed in the enterprise stock transfer system and continuously supervised. Changjiang Securities accepted the entrustment of Guanghui technology, recommended its shares to be listed in the national small and medium-sized enterprise stock transfer system, and continuously supervised Guanghui technology in the aspects of corporate governance, financial and accounting systems, information disclosure, etc. < p > < p > on June 5, 2020, Changjiang Securities announced that st Guanghui failed to disclose the 2017 annual report in accordance with the prescribed time. On May 29, 2020, the national small and medium sized enterprise stock transfer system Co., Ltd. (hereinafter referred to as “the national stock transfer company”) made a decision on terminating the listing of Beijing Guanghui Hongtu Technology Co., Ltd. on May 29, 2020. As of the disclosure date of the announcement, St Guanghui has not submitted an application for review to the national stock transfer company, and the listing of St Guanghui shares will be terminated from June 8, 2020. < p > < p > < p > Article 20 of the measures for the supervision and administration of unlisted public companies (Order No. 96 of the CSRC) stipulates that the company and other information disclosure obligors shall disclose information truthfully, accurately, completely and timely in accordance with laws, administrative regulations and the provisions of the CSRC, and shall not have false records, misleading statements or major omissions. The company and other information disclosure obligors shall disclose information to all investors at the same time. < p > < p > < p > Article 60 of the measures for the supervision and administration of unlisted public companies (Order No. 96 of the CSRC) stipulates that if the company and other information disclosure obligors fail to disclose information in accordance with the provisions, or the disclosed information contains false records, misleading statements or major omissions, it shall be punished in accordance with the provisions of Article 193 of the securities law. < p > < p > < p > < p > Article 193 of the securities law stipulates that if a person, in violation of the provisions of the first and third paragraphs of Article 56 of this law, fabricates or spreads false or misleading information and disturbs the securities market, the illegal gains shall be confiscated and a fine of not less than one time but not more than ten times of the illegal income shall be imposed; if there is no illegal income or the illegal income is less than 200000 yuan, it shall be fined 200000 yuan A fine of more than two million yuan. Those who violate the provisions of the second paragraph of Article 56 of this Law and make false statements or misleading information in securities trading activities shall be ordered to make corrections and be fined not less than 200000 yuan but not more than 2 million yuan; those who are state functionaries shall also be punished according to law. If the media and its staff engaged in securities market information reporting violate the provisions of the third paragraph of Article 56 of this Law and engage in securities trading that conflicts with their duties, the illegal gains shall be confiscated and a fine of less than the equivalent value of the securities traded shall be imposed. < / P > < p > parties: Beijing Guanghui Hongtu Technology Co., Ltd. (hereinafter referred to as Guanghui technology or the company), with its domicile at 1324 Kangxi Road, Badaling Economic Development Zone, Yanqing District, Beijing (yanqingyuan, Zhongguancun). < p > < p > Xin Yu, male, born in February 1975, successively served as chairman and director of Guanghui technology, address: Chongwen District, Beijing (now Dongcheng District). Li Zhiyong, male, born in December 1978, served as the legal representative, general manager and chairman of Guanghui science and Technology Co., Ltd., address: Zhenxing District, Dandong City, Liaoning Province. According to the relevant provisions of the securities law of the people’s Republic of China (hereinafter referred to as the securities law of the people’s Republic of China) revised in 2005, our bureau has filed, investigated and tried the illegal cases of Guanghui technology information disclosure, and informed the parties of the facts, reasons, basis for administrative punishment and the rights enjoyed by the parties according to law. At the request of Xin Xin, the party concerned, we held a hearing to hear his statement and defense. The parties Xin Yu and Li Zhiyong made a statement and defense, but did not ask for a hearing. Xing Ye, the party concerned, did not put forward a statement of defense and did not ask for a hearing. Guanghui technology has served the notice of administrative punishment in advance through the announcement, and when the announcement period expired, it did not put forward a statement of defense or request for a hearing. The investigation and trial of this case have been concluded. < p > < p > since November 30, 2015, Guanghui technology has disclosed that Yan and Li Zhiyong are shareholders of the company in the public transfer instructions, the report on stock issuance, the semi annual report in 2015, the annual report in 2015, the semi annual report in 2016 (after correction), the annual report in 2016 and the semi annual report in 2017 Action relationship is the common actual controller of the company. < p > < p > according to the investigation, before Guanghui technology was listed in the national small and medium-sized enterprise stock transfer system, Yan and Li Zhiyong were required by Wang Yilong, the former chairman and general manager of Guanghui Digital Technology Co., Ltd. (hereinafter referred to as Guanghui digital, now renamed as Beijing Guanghui Zhitong Consulting Service Co., Ltd.), and Xin Yu, former chairman of Guanghui technology and former director of Guanghui digital , for Guanghui digital holding Guanghui technology shares, Yan and Li Zhiyong did not actually contribute, the actual investment was arranged by Guanghui digital. The disclosure information of Yan and Li Zhiyong’s shares in the above-mentioned public disclosure documents of Guanghui technology and the contents of Guanghui technology’s special note in 2015 annual report that “the company does not hold shares on behalf of others during the reporting period” are false records. < p > < p > from July 22, 2015 to August 18, 2016, Xin Yu was the chairman of Guanghui technology, and later was the director of Guanghui technology, signing all the above information disclosure documents; Li Zhiyong was the legal representative and general manager of Guanghui technology from July 22, 2015 to September 29, 2017, and the chairman of Guanghui technology on January 6, 2017, and signed all the above information disclosure documents; and Xingye on July 22, 2015 He was the director of Guanghui technology on August 18, 2016 and the chairman of Guanghui technology from August 18, 2016 to January 6, 2017. Xin Yu, Li Zhiyong and Xingye know about the arrangement of equity holding, and they are directly responsible for illegal information disclosure. < p > < p > Xin Xin was appointed as the Secretary of the board of directors of Guanghui technology on July 22, 2015, and signed all the above information disclosure documents. Knowing that the equity involved in the case is likely to be held on behalf of others, Xin Xin failed to perform the duties of the Secretary of the board of directors, actively carried out investigation, and failed to be diligent and conscientious. < p > < p > Guanghui technology’s public transfer statement and stock issuance