Warning letter for 5-year financial report data of Hemei Agriculture Co., Ltd. sponsored by Guohai Securities

According to the “decision on taking self regulatory measures against Guangxi Hemei Ecological Agriculture Co., Ltd. and relevant responsible entities” (No. 175 [2020] of stock transfer system public supervision letter) recently released on the website of national small and medium sized enterprise share transfer system, it is found that Guangxi Hemei Ecological Agriculture Co., Ltd. (hereinafter referred to as “Hemei agriculture”, 833515) has the following illegal facts: < p > on November 13, 2020, Hemei agriculture disclosed the previous accounting error correction announcement, explaining the accounting error correction matters involved in the 2016-2019 annual report and the 2020 semi annual report. The company retroactively adjusted the financial data of 2016-2019 and 2020. < / P > < p > the adjustment will affect the net assets at the end of the first half of 2020 to be – 34.4006 million yuan. Before the adjustment, the net assets at the end of the first half of 2020 will be 68.6386 million yuan. After the adjustment, the net assets at the end of the first half of 2020 will be 34.238 million yuan, with an adjustment ratio of – 50.12%. < / P > < p > according to the judgment of No.1 Supervision Department of national stock transfer company, the above-mentioned behavior of Hemei agriculture violates Article 3 of the information disclosure rules of listed companies of national small and medium-sized enterprise share transfer system, which constitutes an information disclosure violation. < / P > < p > in view of the above violations, Du Zhengdong, the then chairman of the board of directors, and you HanKun, the financial director, failed to faithfully and diligently perform their duties, violating Article 3 of the information disclosure rules for listed companies of the national small and medium sized enterprise share transfer system and Article 5 of the governance rules for listed companies of the national small and medium sized enterprise share transfer system, and being responsible for the above accounting errors of the company 。 < / P > < p > in view of the above violation facts and circumstances, according to Article 6.1 of the business rules of the national small and medium sized enterprise share transfer system (Trial Implementation) and Article 14 of the detailed rules for the implementation of self regulatory measures and disciplinary measures of the national small and medium sized enterprise share transfer system, the first Supervision Department of the company has decided to take self regulatory measures of issuing warning letters to Hemei agriculture, Du Zhengdong and you HanKun. According to the inquiry of China Economic Net, Hemei agriculture was founded on February 28, 2011, with a registered capital of 36.62 million yuan. Du Zhengdong is the largest shareholder and actual controller, with a shareholding ratio of 35.69%. The company was listed on the new third board on September 10, 2015, and the sponsor is Guohai Securities Co., Ltd. Article 9 of the guidelines for continuous supervision of leading securities companies of the national small and medium-sized enterprise share transfer system (for Trial Implementation) stipulates that the leading securities companies shall supervise the listed companies 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 the external guarantee, major investment, entrusted financing, related party transactions and other major issues The procedure and rule of management decision. Article 3 of the rules for information disclosure of Listed Companies in the national small and medium sized enterprise share transfer system stipulates that the information disclosure of listed companies includes regular reports and interim reports. < p > < p > Article 5 of the governance rules of Listed Companies in the national small and medium sized enterprise share transfer system stipulates that listed companies and their directors, supervisors, senior managers, shareholders, actual controllers, purchasers, counterparties of major asset restructuring, bankruptcy administrators and other natural persons, institutions and their related personnel, as well as leading securities companies, accounting firms, law firms and other securities companies Service institutions and employees shall abide by laws and regulations, departmental rules and business rules, be honest and trustworthy, and consciously accept the self-discipline management of national stock transfer companies. < / P > < p > in view of the above violation facts and circumstances, according to Article 6.1 of the business rules of the national small and medium sized enterprise share transfer system (Trial), the national share transfer system company may take the following self regulatory measures for the regulatory objects specified in article 1.4 of the business rules: < / P > < p > (1) require the listed companies, listed companies and other information disclosure obligors or their directors The board of directors, the board of supervisors, the senior managers, the securities companies, the securities service institutions and their related personnel shall explain, explain and disclose the relevant issues; < p > < p > the regulatory objects shall actively cooperate with the daily supervision of the national stock transfer system company, answer the questions within the specified period, submit the explanations or disclose the corresponding information according to the requirements of the national stock transfer system company Correction or supplementary announcement of. According to Article 14 of the detailed rules for the implementation of self regulatory measures and disciplinary measures of the national small and medium-sized enterprise share transfer system, if the company applying for listing, the listed company, the purchaser, the bankruptcy administrator and other relevant subjects violate the rules, the national stock transfer company can implement the following self regulatory measures: < / P > < p > (1) oral warning, that is, to verbally warn the relevant violations (2) interview and talk, that is, ask the regulatory object to accept questions and admonitions on the relevant violations at the designated time and place, and ask them to make explanations and take measures to remedy, correct or prevent them in a timely manner; < p > < p > (4) issue a warning letter, that is, send a written warning to the regulatory object To inform the regulatory object of the facts or risk status of the violation, and require it to remedy, correct or prevent in a timely manner; < / P > < p > (6) to require public correction, clarification or explanation, that is, to require the regulatory object to make public corrections to the errors and omissions in information disclosure, or to make public clarification or explanation to the relevant matters or risk status; < / P > < p > (8) to require the regulatory object to participate in training or examination within a time limit (9) require the regulatory object to hold an explanation meeting for investors within a time limit, that is, require the regulatory object to hold an explanation meeting within a time limit to explain or explain specific matters to investors publicly; (10) suspend the delisting of listed companies (11) it is suggested that the listed company should change the relevant personnel, that is, it is suggested that the listed company should change the directors, supervisors or senior managers, and timely select qualified directors, supervisors or senior managers. < p > < p > the listed company should change the relevant personnel, that is, it is suggested that the listed company should change the directors, supervisors or senior managers, and timely select qualified directors, supervisors or senior managers The above-mentioned behavior of Hemei agriculture violates Article 3 of the information disclosure rules of Listed Companies in the national small and medium-sized enterprise share transfer system (hereinafter referred to as the information disclosure rules), which constitutes an information disclosure violation. < / P > < p > in response to the above violations, Du Zhengdong, then chairman of the board of directors, and you HanKun, financial director, failed to faithfully and diligently perform their duties, violating Article 3 of the information disclosure rules and Article 5 of the governance rules for listed companies of the national small and medium sized enterprise share transfer system, and being responsible for the above accounting errors of the company. In view of the above violation facts and circumstances, according to Article 6.1 of the business rules of the national small and medium sized enterprise share transfer system (Trial) (hereinafter referred to as the business rules) and Article 14 of the detailed rules for the implementation of self regulatory measures and disciplinary measures of the national small and medium sized enterprise share transfer system, our company makes the following decision: < / P > < p > you should follow the business rules Business rules such as information disclosure rules, information disclosure rules, etc. fulfill the obligation of information disclosure to ensure the authenticity, integrity, accuracy and timeliness of information disclosure. We hereby warn you that your company and relevant responsible parties should pay full attention to the above problems and learn from them to prevent the recurrence of similar problems. Otherwise, our company will take further self regulatory measures or disciplinary actions. < / P > < p > for the above punishment, our company will record it in the integrity archives database of the securities and futures market. The listed company shall timely disclose relevant information within 2 trading days from the date of receiving this self regulatory decision. < / P > < p > Disclaimer: the purpose of this article reprinted by CNFC is to convey more information, and it does not represent the opinions and positions of CNFC. The content of this article is for reference only, and does not constitute an investment proposal. Investors operate on this basis at their own risk. < p > < p > Chinanet is a state key news website under the leadership of the Information Office of the State Council and the management of China foreign language publishing and Distribution Bureau. Through 11 versions in 10 languages, the website publishes information 24 hours a day. 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