| Announcement date of punishment decision: June 26, 2023 |
|---|
| title | Ruifeng High tech was subject to administrative punishment of Yiyuan County Fire Rescue Brigade 1 |
| Relevant regulations | Fire Control Law of the People's Republic of China |
| Document batch number | |
| Reason for approval | The fire separation between the company's ACR finished product warehouse and the office building is occupied |
| Approval content | The fire rescue brigade of Yiyuan County fined the company 36500 yuan. |
| Handled by | Yiyuan County Fire Rescue Brigade |
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| Announcement date of punishment decision: June 26, 2023 |
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| title | Ruifeng High tech was subject to administrative punishment of Yiyuan County Fire Rescue Brigade 2 |
| Relevant regulations | Fire Control Law of the People's Republic of China |
| Document batch number | |
| Reason for approval | Because the fire engine access on the north side of the company's ACR finished product warehouse is occupied |
| Approval content | The fire rescue brigade of Yiyuan County fined the company 18500 yuan. |
| Handled by | Yiyuan County Fire Rescue Brigade |
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| Announcement date of punishment decision: June 26, 2023 |
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| title | Ruifeng High tech was subject to administrative punishment of Yiyuan County Fire Rescue Brigade 3 |
| Relevant regulations | Regulations of Shandong Province on Fire Protection |
| Document batch number | |
| Reason for approval | The company failed to perform its fire safety responsibilities, resulting in the expansion of fire losses |
| Approval content | The fire rescue brigade of Yiyuan County fined the company 100000 yuan. |
| Handled by | Yiyuan County Fire Rescue Brigade |
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| Announcement date of punishment decision: June 26, 2023 |
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| title | Ruifeng High tech was subject to administrative punishment of Yiyuan County Fire Rescue Brigade 4 |
| Relevant regulations | Fire Control Law of the People's Republic of China |
| Document batch number | |
| Reason for approval | Because the fire separation between the company's ACR finished product warehouse and ACR workshop is occupied, many fire truck passages in the plant area are occupied |
| Approval content | The fire rescue brigade of Yiyuan County fined the company 73000 yuan. |
| Handled by | Yiyuan County Fire Rescue Brigade |
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| Announcement date of punishment decision: June 26, 2023 |
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| title | Ruifeng High tech was subject to administrative punishment by Yiyuan County Emergency Management Bureau |
| Relevant regulations | Production Safety Law of the People's Republic of China (2014 Amendment) |
| Document batch number | |
| Reason for approval | A general fire accident occurred in the warehouse of the company's ACR plant area, resulting in a direct economic loss of about 7.856 million yuan |
| Approval content | Yiyuan County Emergency Management Bureau fined the company 300000 yuan |
| Handled by | Yiyuan County Emergency Management Bureau |
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| Announcement date of punishment decision: June 26, 2023 |
|---|
| title | Linyi Ruifeng was given administrative punishment by Linyi Fire Rescue Detachment |
| Relevant regulations | Fire Protection Law of the People's Republic of China (2019 Amendment) |
| Document batch number | |
| Reason for approval | There is no water in the fire hydrants in the office building and staff dormitory of Linyi Ruifeng located in Lushan Project Area of Yishui Economic Development Zone; The simple spray pipe in the unloading area of the east of the liquid chlorine warehouse was damaged, and the fire-fighting facilities and equipment were not kept intact and effective |
| Approval content | Linyi Fire Rescue Detachment fined Linyi Ruifeng 20000 yuan. |
| Handled by | Linyi Fire Rescue Detachment |
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| Announcement date of punishment decision: June 26, 2023 |
|---|
| title | Linyi Ruifeng is subject to administrative punishment by Yishui County Emergency Management Bureau |
| Relevant regulations | Production Safety Law of the People's Republic of China (2014 Amendment), Measures for the Safety Management of Hazardous Chemicals in Shandong Province |
| Document batch number | |
| Reason for approval | The on-site gas detector alarm in the unloading area east of Linyi Ruifeng ① liquid chlorine tank farm was damaged; ② The alkali spraying pipeline in the liquid chlorine unloading area is broken; ③ Forklift maintenance, pine pallet, diesel, packing buckle, broom, electric hand drill bit and other expenses listed in the safe production input account from January to April 2020 are not included in the safe production expenses; ④ The opinions of relevant units, production (technology) department and equipment (engineering) department have been signed and agreed before the issuance time of the gas analysis and test report in the hot work permit numbered LYRL-DH-MCCJ-G2-20200516-001 and LYRL-DH-MCCJ-G2-20200517-001, and the hot work plan and training records have not been provided |
| Approval content | Yishui County Emergency Management Bureau imposed a combined fine of 45000 yuan on Linyi Ruifeng. |
| Handled by | Yishui County Emergency Management Bureau |
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| Announcement date of punishment decision: June 26, 2023 |
|---|
| title | Linyi Ruifeng is subject to administrative punishment by Yishui County Emergency Management Bureau |
| Relevant regulations | Production Safety Law of the People's Republic of China (2014 Amendment), Regulations on the Safety Management of Hazardous Chemicals |
| Document batch number | |
| Reason for approval | On February 23, 2021, the electric foam control power cabinet in the fire pump room of Linyi Ruifeng ① was not grounded; ② The diesel engine control power cabinet in the fire pump room is not grounded; ③ The fire pump control power cabinet in the fire pump room is not grounded; ④ There are less than 5 vertical steel ladder cage columns for climbing the gas-liquid balance operation platform on the east side of the liquid chlorine storage tank in the liquid chlorine warehouse; ⑤ No protective fence is set at the open edge zone on the east side of the liquid chlorine warehouse; ⑥ No eyewash is set at the hydrochloric acid intermediate product storage tank area in the north of MC workshop; ⑦ Chlorine concentration detection alarm is not set at the control valve group of the gas chlorine pipeline at the westernmost chlorination kettle on the second floor of MC workshop; ⑧ The bag filter for polyethylene feeding in MC workshop is not provided with explosion control measures such as explosion relief and suppression; ⑨ The liquid chlorine warehouse in the plant did not strictly implement the management system of two people receiving and dispatching, and two people keeping. |
| Approval content | Yishui County Emergency Management Bureau imposed a combined fine of 55000 yuan on Linyi Ruifeng. |
| Handled by | Yishui County Emergency Management Bureau |
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| Regulatory attention announcement date: October 20, 2021 |
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| title | Concern Letter on Shandong Ruifeng Polymer Materials Co., Ltd |
| Relevant regulations | |
| Document batch number | GEM QJH [2021] No. 421 |
| Reason for approval | The company received a letter of concern from the GEM Management Department |
| Approval content | Your company is requested to make a written statement on the above matters, submit the relevant explanatory materials to our Ministry and disclose them to the public before October 27, 2021, and send a copy to the Listed Company Supervision Division of Shandong Securities Regulatory Bureau. |
| Handled by | GEM Company Management Department |
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| Event announcement (non punishment result) Date of announcement: June 28, 2021 |
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| title | Ruifeng High Material: Announcement on Fire Accident in Warehouse |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | At about 16:30 on June 25, 2021, Shandong Ruifeng Polymer Materials Co., Ltd. (hereinafter referred to as "the Company") had a fire accident in the 3 # finished product warehouse of the 30000 ton ACR plant area in Yiyuan County Economic Development Zone. The company launched the emergency plan at the first time, evacuated the staff quickly, and actively cooperated with the firefighters to carry out fire fighting operations. The open fire was quickly and effectively controlled, and was basically extinguished at about 20:30 that day. |
| Approval content | The company has reported to the property insurance company and applied for settlement of claims. At the same time, it has also applied to the people's court for freezing and preserving the property of the enterprise that caused the accident. The company will claim losses from the enterprise that caused the accident in accordance with the law and safeguard its legitimate rights and interests. |
| Handled by | board of directors |
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| Announcement date of punishment decision: October 20, 2020 |
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| title | Shandong Ruifeng Polymer Materials Co., Ltd. was administratively punished by Shandong Ruifeng Polymer Materials Co., Ltd. (YGTZZJXZ [2017] No. 72) |
| Relevant regulations | Land Administration Law of the People's Republic of China (2004 Amendment) |
| Document batch number | YGTZZJXZ [2017] No. 72 |
| Reason for approval | From October 16, 2015, 596.3 square meters of village collective land was occupied in Nanshijiu Village, Yuezhuang Town, Yiyuan County to build roads. |
| Approval content | The Bureau of Land and Resources of Yiyuan County decided to give the issuer an order to return 596.3 square meters of illegally occupied collective land to the villagers' committee of Nanshijiu Village, Yuezhuang Town, Yiyuan County; Dismantle the newly built roads and other facilities on the illegally occupied land and restore the land to its original state; The illegal occupation of 596.3 square meters of land will be fined at the standard of 30 yuan per square meter, with a total of 17889.00 yuan. |
| Handled by | Land and Resources Bureau of Yiyuan County |
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| Date of inquiry announcement: July 4, 2020 |
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| title | Ruifeng Gaocai: Announcement on Reply to GEM Inquiry Letter [2020] No. 151 |
| Relevant regulations | |
| Document batch number | GEM Inquiry Letter [2020] No. 151 |
| Reason for approval | Received the Inquiry Letter from the Management Department of Shenzhen Stock Exchange GEM Company to Shandong Ruifeng Polymer Materials Co., Ltd. (hereinafter referred to as "the Company"). |
| Approval content | The company attaches great importance to it. The board of directors and relevant intermediaries of the company have carefully analyzed and discussed it, and now the reply to the question is announced. |
| Handled by | Shenzhen Stock Exchange GEM Company Management Department |
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| Announcement date of punishment decision: September 12, 2019 |
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| title | China Securities Regulatory Commission Shandong Regulatory Bureau Administrative Punishment Decision ([2019] No. 7) |
| Relevant regulations | Securities Law of the People's Republic of China |
| Document batch number | Shandong Securities Regulatory Bureau [2019] No. 7 |
| Reason for approval | It is found that Sangpeizhou has the following illegal facts: Sang Peizhou is a shareholder holding more than 5% shares of the listed company Shandong Ruifeng Polymer Materials Co., Ltd. (hereinafter referred to as Ruifeng High Material). On November 29, 2017, April 16, 2018 and January 21, 2019, Sang Peizhou sold 4137291, 4137291 and 3142618 shares of "Ruifeng High tech" through block trading at Shenzhen Securities Exchange, and sold 11417200 shares of "Ruifeng High tech" in total, accounting for 5.41% of the issued shares of Ruifeng High tech. In the process of selling 3142618 shares on January 21, 2019, Sang Peizhou sold 5% of the issued shares of Ruifeng High tech, failed to perform the reporting and announcement obligations as required, and did not stop selling "Ruifeng High tech". The amount of reduction in shares in violation of the law was 7791147 yuan. |
| Approval content | Order Sang Peizhou to correct and give a warning to Sang Peizhou; A fine of 200000 yuan will be imposed on Sang Peizhou for the illegal act of information disclosure of excessive shareholding reduction, and a fine of 500000 yuan will be imposed on Sang Peizhou for his shareholding reduction within the restricted transfer period. |
| Handled by | Shandong Securities Regulatory Bureau |
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| Date of inquiry announcement: June 10, 2019 |
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| title | Letter of Inquiry on Shandong Ruifeng Polymer Materials Co., Ltd |
| Relevant regulations | |
| Document batch number | GEM Inquiry Letter [2019] No. 176 |
| Reason for approval | We received the GEM Management Department's inquiry letter on Shandong Ruifeng Polymer Materials Co., Ltd., GEM Inquiry Letter [2019] No. 176. |
| Approval content | Your company is requested to make a written explanation on the above issues and submit the relevant explanation materials to our department before June 13. |
| Handled by | GEM Company Management Department |
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| Date of inquiry announcement: May 28, 2019 |
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| title | Letter of Inquiry on the Annual Report of Shandong Ruifeng Polymer Materials Co., Ltd |
| Relevant regulations | |
| Document batch number | GEM Annual Report Inquiry Letter [2019] No. 384 |
| Reason for approval | We received the GEM Management Department's inquiry letter on the annual report of Shandong Ruifeng Polymer Materials Co., Ltd., GEM Annual Report Inquiry Letter [2019] No. 384. |
| Approval content | Your company is requested to make a written explanation on the above issues, submit the relevant explanation materials to our department before May 31, and send a copy to the Listed Company Supervision Division of Shandong Securities Regulatory Bureau. |
| Handled by | GEM Company Management Department |
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| Regulatory attention announcement date: January 29, 2019 |
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| title | Supervision Letter on Sang Peizhou, the shareholder of Shandong Ruifeng Polymer Materials Co., Ltd |
| Relevant regulations | Securities Law, Administrative Measures for Acquisition of Listed Companies, and Listing Rules of GEM Shares (revised in November 2018) |
| Document batch number | GEM JH [2019] No. 7 |
| Reason for approval | As a shareholder holding more than 5% of the shares of Shandong Ruifeng High Polymer Materials Co., Ltd. (hereinafter referred to as Ruifeng High Polymer Materials), you reduced 11417200 shares of Ruifeng High Polymer Materials through block trading from November 29, 2017 to January 21, 2019, accounting for 5.41% of the total share capital of Ruifeng High Polymer Materials. When your share reduction reached 5% of the total share capital of Ruifeng Gaocai, you failed to timely fulfill your obligation to report to the Exchange and make an announcement in accordance with the Securities Law, the Administrative Measures for the Acquisition of Listed Companies and other provisions. |
| Approval content | Your above behavior violates the provisions of Articles 1.4 and 11.8.1 of the GEM Listing Rules (revised in November 2018). Please pay full attention to the above problems and learn from them, |
| Handled by | GEM Company Management Department |
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| Announcement date of punishment decision: July 13, 2018 |
|---|
| title | Decision on Administrative Punishment of CSRC (Chu Lianjiang) |
| Relevant regulations | Securities Law of the People's Republic of China |
| Document batch number | CSRC [2018] No. 59 |
| Reason for approval | 1、 Actual control and use of accounts by Chu Lianjiang During the period involved in the case, Chu Lianjiang actually controlled and used his own "Chu Lianjiang", his wife "Song Erzhen" and his son "Chu Erqiang" three securities accounts (hereinafter referred to as account groups). The transaction funds of the account group are all from the third-party depository bank account of Chu Lianjiang. The IP address of the stock involved in the transaction of the account group is the same, and the MAC address of the stock involved in the transaction of the "Song Mouzhen" account and the "Chu Mouqiang" account is the same as the MAC address frequently used by the "Chu Lianjiang" account. Chu Lianjiang admitted that the account group was under his control. 2、 Chu Lianjiang controls the account group to manipulate the securities market （1） Manipulation of "Baichuan Shares" Chu Lianjiang manipulated "Baichuan Shares" through false intraday reporting of reverse selling after buying from September 9 to 15, 2015, as follows: On September 9, 2015, during the period from 9:45:04 to 9:52:37, "Chu Lianjiang" account declared to buy 3910000 shares of "Baichuan Shares" for 11 consecutive times at the price of 7.60 to 7.77 yuan. 13823 shares were actually sold, with a transaction ratio of 0.35%, and a cancellation ratio of 99.65%. The declared purchase volume accounted for 57.70% of the declared purchase volume of the whole market in the same period, and the cancellation volume accounted for 75.73% of the cancellation volume of the whole market in the same period. 9: At 53:15, the account of "Chu Lianjiang" declared to sell 50000 shares of "Baichuan Shares" at a price of 7.70 yuan and all the shares were sold. The transaction amount was 385000 yuan, the average transaction price was 7.70 yuan, and the profit was -5317.41 yuan. On September 10, 2015, between 13:53:49 and 13:59:50, the "Chu Lianjiang" account declared to buy 1780000 shares of "Baichuan Shares" for 10 consecutive times at the price of 8.03 yuan to 8.09 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 67.55% of the reported purchase volume of the whole market in the same period, and the cancellation volume accounted for 72.80% of the cancellation volume of the whole market in the same period. 14: At 00:23, the account of "Chu Lianjiang" declared the sale of 20000 shares of "Baichuan Shares" at 8.09 yuan and all the shares were closed. The transaction amount was 161800 yuan, the average transaction price was 8.09 yuan, and the profit was -458.94 yuan. On September 11, 2015, from 10:37:40 to 10:42:04, "Chu Lianjiang" account declared to buy 826900 shares of "Baichuan Shares" for 10 consecutive times at the price of 7.76 yuan to 7.80 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 45.74% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 86.64% of the total market cancellation volume in the same period. 10: During the period from 42:50 to 10:44:52, the "Chu Lianjiang" account declared to sell 363000 shares of "Baichuan Shares" in five transactions, and 232321 shares were actually sold. The transaction amount was 1810699.80 yuan, the average transaction price was 7.79 yuan, and the profit was -8949.35 yuan. On September 15, 2015, during the period from 9:55:16 to 10:17:18, "Chu Lianjiang" account declared to buy a total of 11600000 shares of "Baichuan Shares" for 30 consecutive times at the price of 6.45 to 6.62 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 85.16% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 94.64% of the total market cancellation volume in the same period. 10: During the period from 18:00 to 10:18:20, the account of "Chu Lianjiang" declared to sell 80000 shares of "Baichuan Shares" in two transactions, and 16600 shares were actually sold. The transaction amount was 109394 yuan, the average transaction price was 6.59 yuan, and the profit was -125.22 yuan. （2） Manipulation of "top nine creatures" On August 11, 2015, Chu Lianjiang manipulated the "top nine organisms" through false intraday reporting of reverse selling after buying, as follows: On August 11, 2015, during the period from 10:26:17 to 10:31:12, "Chu Lianjiang" account declared to buy 827000 shares of "Top Nine Biology" at the price of 45.31 yuan to 45.80 yuan for 10 consecutive times. 100 shares were actually sold, with a transaction ratio of 0.01% and a cancellation ratio of 99.99%. The declared purchase volume accounted for 85.47% of the declared purchase volume of the whole market in the same period, and the cancellation volume accounted for 92.27% of the cancellation volume of the whole market in the same period. 10: During the period from 31:42 to 10:33:43, the "Chu Lianjiang" account declared to sell 32500 shares of the "Top Nine Biology" in seven transactions, and 17900 shares were actually sold, with a transaction amount of 820460 yuan, an average transaction price of 45.84 yuan, and a profit of 4372.09 yuan. On August 11, 2015, from 13:14:01 to 13:19:05, the "Chu Lianjiang" account reported to buy 583000 shares of "Top Nine Biology" at a price of 44.90 yuan to 45.30 yuan for 12 consecutive times. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 81.13% of the total market reported purchase volume in the same period, and the cancellation volume accounted for 84.77% of the total market cancellation volume in the same period. 13: During the period from 19:44 to 13:20:50, the "Chu Lianjiang" account declared to sell 31000 shares of the "Top Nine Biology" in three transactions, and 8000 shares were actually sold. The transaction amount was 364000 yuan, the average transaction price was 45.50 yuan, and the profit was 2793.76 yuan. （3） Operation of "Nanxing Equipment" Chu Lianjiang manipulated "Nanxing Equipment" in several periods from July 20 to August 31, 2015 by means of reverse selling after raising the share price, reverse buying after false declaration of selling, reverse selling after false declaration of buying at the opening, and reverse selling after false declaration of buying at the opening. The details are as follows: On July 20, 2015, between 13:50:45 and 14:02:14, the "Chu Lianjiang" account reported to buy 427000 shares of "Nanxing Equipment" for 26 consecutive times at a price of 35.40 yuan to 37 yuan (a fluctuation range of 4.52%), and cancelled orders for 16 times, totaling 311000 shares. 116000 shares were actually traded, accounting for 75.20% of the market's reported purchase volume in the same period, The actual trading volume accounted for 73.74% of the actual market buying volume in the same period. There were 13 consigned purchases of this account whose purchase price exceeded the market price at the previous moment, accounting for 50%; There were 14 consignments with the first gear, accounting for 53.85%. During this period, the initial share price of "Nanxing Equipment" was 35.33 yuan, the lowest was 35.33 yuan, and the highest price was 36.60 yuan at 14:00:03, the maximum increase during this period was 3.59%. During the above period, the account also declared to buy 10000 shares at 37 yuan (higher than the highest price), and all of them were closed. 13: Before 50:45, the account held 711618 shares of "Nanxing Equipment" that could be sold. 14: During the period from 02:32 to 14:05:10, the account reported 9 sales of 54800 shares at the price of 36.38 yuan to 36.45 yuan, and 26600 shares were actually sold. The average price was 36.39 yuan, and the sales amount was 967862 yuan. The sales volume accounted for 7.70% of the number of shares that could be sold in the account at that time, and the total profit was 26295.38 yuan. On July 22, 2015, during the period from 10:33:42 to 10:39:54, "Chu Lianjiang" account declared to sell 320000 shares of "Nanxing Equipment" at the price of 38.46 to 38.99 yuan for 11 consecutive times. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared sales volume accounted for 70.44% of the reported sales volume of the whole market in the same period, and the cancellation volume accounted for 73.53% of the cancellation volume of the whole market in the same period. 10: During the period from 40:14 to 10:40:25, the "Chu Lianjiang" account declared to buy 15000 shares of "Nanxing Equipment" in two transactions, and 15000 shares were actually sold. The transaction amount was 576000 yuan, the average transaction price was 38.40 yuan, and the profit was -1152 yuan. On July 22, 2015, during the period from 10:41:28 to 10:50:23, "Chu Lianjiang" account reported to sell 725000 shares of "Nanxing Equipment" for 16 consecutive times at the price of 38.27 to 38.60 yuan. 7100 shares were actually sold, with a transaction ratio of 0.98% and a cancellation ratio of 99.02%. The declared sales volume accounted for 71.29% of the total market declared sales volume in the same period, and the cancellation volume accounted for 91.15% of the total market cancellation volume in the same period. 10: During the period from 50:35 to 10:51:27, the "Chu Lianjiang" account declared to buy 23000 shares of "Nanxing Equipment" in three transactions, and 11900 shares were actually sold. The transaction amount was 455059 yuan, the average transaction price was 38.24 yuan, and the profit was 1463.32 yuan. On August 4, 2015, during the period from 10:52:17 to 10:54:36, the "Chu Lianjiang" account reported to buy 330000 shares of "Nanxing Equipment" at a price of 40.28 yuan to 42 yuan (with a fluctuation range of 4.27%) for six consecutive times, and 185900 shares were reported to be cancelled for three times. 144100 shares were actually traded, accounting for 71.99% of the market's reported purchases in the same period, The actual trading volume accounted for 78.31% of the actual market buying volume in the same period. There were 4 consigned purchases of this account whose purchase price exceeded the market price at the previous moment, accounting for 66.67%; There were 4 consignments with the first gear, accounting for 66.67%. During this period, the initial share price of "Nanxing Equipment" was 40.20 yuan, the lowest was 40.20 yuan, and reached the highest price of 41.99 yuan at 10:54:08, the maximum increase during this period was 4.45%. During the above period, the account also declared to buy 50000 shares at 42 yuan (higher than the highest price), and all of them were closed. 10: Before 52:17, the account held 821136 marketable shares of "Nanxing Equipment". 10: From 55:06 to 10:56:26, the "Chu Lianjiang" account reported two sales of 13000 shares at the price of 41 yuan to 41.59 yuan. 9100 shares were actually sold, with an average price of 41.07 yuan and a sales amount of 373779 yuan. The sales volume accounted for 1.58% of the number of shares that could be sold in the account at that time, and the total profit was 7215.42 yuan. On August 24, 2015, during the period from 13:36:55 to 13:45:26, "Chu Lianjiang" account reported to buy 997000 shares of "Nanxing Equipment" at the price of 30.75 yuan to 31.35 yuan for 11 consecutive times. The actual transaction was 0 shares, and the cancellation ratio was 100%. The declared purchase volume accounted for 86.25% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 94.32% of the total market cancellation volume in the same period. 13: During the period from 46:37 to 13:47:13, the account of "Chu Lianjiang" declared the sale of 58000 shares of "Nanxing Equipment" in two transactions, and 5900 shares were actually sold, with a transaction amount of 185260 yuan, an average transaction price of 31.40 yuan, and a profit of 2613.16 yuan. On August 26, 2015, from 9:15:03 to 9:16:41, the "Chu Lianjiang" account reported to buy 103600 shares of "Nanxing Equipment" at a price of 29.30 yuan to 30.46 yuan (a fluctuation range of 3.96%) for six consecutive times. 9: During the period from 15:29 to 9:18:09, the account cancelled 103600 shares in six transactions, with the cancellation ratio of 100%. The declaration volume accounted for 59.95% of the effective market purchase volume at the time of cancellation, and the cancellation volume accounted for 93.42% of the market cancellation volume from 9:15:00 to 9:20:00. 9: At 20:54, the account declared the purchase of 500 shares at 30 yuan and all the shares were closed. The stock opened at 28.87 yuan, up 4.26% from the closing price of the previous day. 9: During the period from 22:54 to 9:24:41, when the stage of collective auction matching was near the end, the account reported four sales of 38500 shares at the price of 28.90 yuan to 29 yuan, and the number of shares sold was 0, and the transaction amount was 0 yuan. 9: From 30:31 to 9:31:08, the account declared to buy 49000 shares and 5000 shares at 28.30 yuan and 30 yuan respectively, and then cancelled 49000 shares. 5000 shares were actually sold, with an average price of 28.83 yuan and a transaction amount of 144133 yuan. 9: During the period from 31:34 to 9:36:04, the account reported 10 sales of 142000 shares at the price of 28 yuan to 28.90 yuan (with a fluctuation range of 3.21%), and 78200 shares were actually sold, with an average price of 28.45 yuan and a transaction amount of 2224491 yuan. The above sales orders accounted for 24.26% of the shares that could be sold in the account on that day, and the total profit was 55591.55 yuan. On August 26, 2015, during the period from 10:45:53 to 10:54:06, "Chu Lianjiang" account declared to buy 1150000 shares of "Nanxing Equipment" at the price of 28.06 to 28.80 yuan for 13 consecutive times. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 80.36% of the reported purchase volume of the whole market in the same period, and the cancellation volume accounted for 86.96% of the cancellation volume of the whole market in the same period. 10: During the period from 54:49 to 10:55:27, the account of "Chu Lianjiang" declared to sell 85000 shares of "Nanxing Equipment" in two transactions, and 5000 shares were actually sold, with a transaction amount of 143950 yuan, an average transaction price of 28.79 yuan, and a profit of 1720.27 yuan. At 9:16:45 on August 27, 2015, the account of "Chu Lianjiang" declared to buy 230000 shares of "Nanxing Equipment" at 32.14 yuan. 9: At 18:04, 230000 shares were cancelled from the account, with a cancellation ratio of 100%. The declared volume accounted for 75.96% of the effective market purchase volume at the time of cancellation, and the cancelled volume accounted for 95.08% of the market cancellation volume from 9:15:00 to 9:20:00. 9: At 24:16, the account declared to buy 50000 shares at 29.71 yuan, and 33900 shares were actually sold. The average transaction price was 29.71 yuan, and the transaction amount was 1007169 yuan. The stock opened at 29.71 yuan, up 1.68% from the closing price of the previous day. 9: During the period from 30:31 to 10:01:10, the account declared to buy 22 3785000 shares in total at a price of 29.51 yuan to 30.60 yuan (with a fluctuation range of 3.69%), and 3780000 shares were cancelled. 5000 shares were actually traded, with an average price of 30.29 yuan and a transaction amount of 151450 yuan. 9: From 31:43 to 10:01:10, the "Chu Lianjiang" account reported 9 sales of 431000 shares at a price of 29.80 yuan to 30.80 yuan (a fluctuation range of 3.36%). 157521 shares were actually sold, with an average price of 29.92 yuan and a transaction amount of 4712325.80 yuan. The above sales volume accounted for 53.10% of the shares available for sale in the account on that day, and the total profit was 102055.33 yuan. On August 27, 2015, during the period from 13:18:56 to 13:24:38, "Chu Lianjiang" account declared to buy 548000 shares of "Nanxing Equipment" at the price of 29.56 to 29.69 yuan for 11 consecutive times. 1100 shares were actually sold, with a transaction ratio of 0.20% and a cancellation ratio of 99.80%. The declared purchase volume accounted for 84.01% of the declared purchase volume of the whole market in the same period, and the cancellation volume accounted for 95.32% of the cancellation volume of the whole market in the same period. 13: During the period from 25:28 to 13:26:56, the account declared the sale of 23000 shares of "Nanxing Equipment" in three transactions, and 16300 shares were actually sold. The transaction amount was 484060 yuan, the average transaction price was 29.70 yuan, and the profit was -661.46 yuan. On August 27, 2015, between 14:00:50 and 14:45:54, the "Chu Lianjiang" account reported to buy 3159000 shares of "Nanxing Equipment" at a price of 28.57 yuan to 31 yuan (8.51% fluctuation range) for 79 consecutive transactions, and 65 applications for cancellation totaled 2897867 shares, with 261133 shares actually traded. The declared buying volume of this account accounted for 78.94% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 37.79% of the actual buying volume of the market in the same period. The account reported 21 purchases with entrusted prices higher than the market price at the previous moment, accounting for 26.58%, and 28 purchases with entrusted prices at the first level, accounting for 35.44%. 14: From 00:50 to 14:45:54, the initial share price of "Nanxing Equipment" was 28.84 yuan, the lowest was 28.56 yuan, and the highest price was 30.46 yuan at 14:43:16, with the maximum increase of 5.62%. During the above period, the account also declared to buy 10000 shares at 31 yuan (higher than the highest price), and all of them were closed. 14: Before 00:50, the account held 811677 marketable shares of "Nanxing Equipment". 14: At 46:27, the account declared to sell 8000 shares at 30.27 yuan and all of them were closed. The average transaction price was 30.27 yuan, and the sales amount was 242160 yuan. The sales volume accounted for 0.99% of the number of shares that could be sold in the account at that time, and the total profit was 11055.98 yuan. （4） Manipulation of "Renhe Pharmaceutical" Chu Lianjiang manipulated "Renhe Pharmaceutical" through false intraday reporting of reverse selling after buying in multiple periods from October 29 to 30, 2015, as follows: On October 29, 2015, during the period from 10:10:07 to 10:20:56, "Chu Lianjiang" account declared to buy 3480000 shares of "Renhe Pharmaceutical" at the price of 10.31 to 10.40 yuan for 14 consecutive times. 7885 shares were actually sold, with a transaction ratio of 0.23% and a cancellation ratio of 99.77%. The declared purchase volume accounted for 63.00% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 88.43% of the total market cancellation volume in the same period. 10: At 22:09, the account declared to sell 10000 shares of "Renhe Pharmaceutical" at 10.38 yuan, and 10000 shares were actually sold. The transaction amount was 103800 yuan, the average transaction price was 10.38 yuan, and the profit was -655.83 yuan. On October 29, 2015, during the period from 10:26:36 to 10:44:01, "Chu Lianjiang" account reported buying 2990000 shares of "Renhe Pharmaceutical" for 17 consecutive times at the price of 10.28 to 10.34 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 31.23% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 52.47% of the total market cancellation volume in the same period. 10: During the period from 45:02 to 10:46:05, the account declared to sell 75000 shares of "Renhe Pharmaceutical" in four transactions, and 65000 shares were actually sold. The transaction amount was 671850 yuan, the average transaction price was 10.34 yuan, and the profit was -672.69 yuan. On October 30, 2015, during the period from 10:48:10 to 10:58:31, "Chu Lianjiang" account declared to buy a total of 1680000 shares of "Renhe Pharmaceutical" for 16 consecutive times at the price of 10.57 to 10.64 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 36.09% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 68.95% of the total market cancellation volume in the same period. 11: During the period from 00:19 to 11:00:42, the account declared to sell 70000 shares of "Renhe Pharmaceutical" in two transactions, and 23539 shares were actually sold. The transaction amount was 249513.40 yuan, the average transaction price was 10.60 yuan, and the profit was -1786.96 yuan. （5） Manipulation of "Xintian Technology" Chu Lianjiang manipulated "Xintian Technology" in several periods from September 24 to October 13, 2015 by means of reverse selling after false declaration of buying in the intraday and reverse selling after raising the share price in the intraday, as follows: On September 24, 2015, during the period from 13:36:01 to 13:48:39, "Chu Lianjiang" account declared to buy 6480000 shares of "Xintian Technology" at the price of 8.53 yuan to 8.74 yuan for 20 consecutive times. 47689 shares were actually sold, with a transaction ratio of 0.74% and a cancellation ratio of 99.26%. The declared purchase volume accounted for 82.20% of the total declared purchase volume of the whole market at the same period, and the cancellation volume accounted for 93.22% of the total cancellation volume of the whole market at the same period. 13: During the period from 50:06 to 13:50:33, the account declared to sell 80000 shares of "Xintian Technology" in two transactions, and 33100 shares were actually sold. The transaction amount was 291125 yuan, the average transaction price was 8.80 yuan, and the profit was 7325.54 yuan. On October 8, 2015, during the period from 13:40:59 to 13:52:16, "Chu Lianjiang" account declared to buy 1068200 shares of "Xintian Technology" at the price of 8.82 to 8.88 yuan for 11 consecutive times. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 61.96% of the reported purchase volume of the whole market in the same period, and the cancellation volume accounted for 86.99% of the cancellation volume of the whole market in the same period. 13: During the period from 53:19 to 13:54:14, the account declared to sell 133000 shares of "Xintian Science and Technology" in three transactions, and 123900 shares were actually sold. The transaction amount was 1100232 yuan, the average transaction price was 8.88 yuan, and the profit was 828.27 yuan. On October 9, 2015, during the period from 9:54:16 to 10:02:02, "Chu Lianjiang" account declared to buy a total of 2586000 shares of "Xintian Technology" for 13 consecutive times at the price of 8.71 to 8.82 yuan. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 74.49% of the total market declared purchase volume in the same period, and the cancellation volume accounted for 86.19% of the total market cancellation volume in the same period. 10: At 03:11, the account declared to sell 30000 shares of "Xintian Technology" at 8.85 yuan, and 30000 shares were actually sold. The transaction amount was 265500 yuan, the average transaction price was 8.85 yuan, and the profit was 201.90 yuan. On October 9, 2015, during the period from 10:31:57 to 10:45:01, "Chu Lianjiang" account declared to buy 6304700 shares of "Xintian Technology" at the price of 8.84 yuan to 8.90 yuan for 14 consecutive times. The actual transaction of 2000 shares was 0.03%, and the cancellation ratio was 99.97%. The declared purchase volume accounted for 76.55% of the declared purchase volume of the whole market at the same period, and the cancellation volume accounted for 83.81% of the cancellation volume of the whole market at the same period. 10: At 46:02, the account declared to sell 50000 shares of "Xintian Science and Technology" at 8.88 yuan, and 32700 shares were actually sold. The transaction amount was 290376 yuan, the average transaction price was 8.88 yuan, and the profit was -1416.81 yuan. On October 9, 2015, between 13:37:00 and 14:53:24, the "Chu Lianjiang" account reported buying 7741000 shares of "Xintian Technology" for 64 consecutive times at a price of 9.12 yuan to 9.50 yuan (a fluctuation range of 4.17%). 41 applications for cancellation totaled 4879800 shares (including one application for 20000 shares that had not been delivered or cancelled). 2841200 shares were actually traded, and 3 applications for sales totaled 5600 shares, 300 shares were actually sold, with an average price of 9.33 yuan. The declared buying volume of this account accounted for 52.32% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 45.09% of the actual buying volume of the market in the same period. The account reported 26 purchases with the entrusted price higher than the market price at the previous moment, accounting for 40.63%, and 26 purchases with the entrusted price at the first level, accounting for 40.63%. 13: During the period from 37:00 to 14:53:24, the initial share price of "Xintian Technology" was 9.12 yuan, the lowest was 9.12 yuan, and the highest price was 9.45 yuan at 13:39:24, with the maximum increase of 3.62%. During the above period, the account also declared to buy 100000 shares at 9.50 yuan (higher than the highest price), and all of them were closed. 13: Before 37:00, the account held 3295668 marketable shares of "Xintian Technology". 14: During the period from 53:52 to 14:54:24, the account reported two sales of 10000 shares in total, and 10000 shares were actually sold. The average transaction price was 9.33 yuan, and the sales amount was 93250 yuan. The sales volume accounted for 0.30% of the number of shares that could be sold in the account at that time, and the total profit was 1969.45 yuan. On October 13, 2015, between 14:19:55 and 14:30:27, the "Chu Lianjiang" account declared to buy 1247800 shares of "Xintian Technology" at the price of 9.59 yuan to 9.72 yuan for 14 consecutive times. The actual transaction was 0 shares, the transaction ratio was 0, and the cancellation ratio was 100%. The declared purchase volume accounted for 65.32% of the reported purchase volume of the whole market in the same period, and the cancellation volume accounted for 81.21% of the cancellation volume of the whole market in the same period. 14: During the period from 31:06 to 14:31:27, the account declared to sell 60000 shares of "Xintian Technology" in two transactions, and 60000 shares were actually sold. The transaction amount was 585300 yuan, the average transaction price was 9.76 yuan, and the profit was 4823.48 yuan. （6） Manipulation of "Zhonglai Shares" Chu Lianjiang manipulated "Zhonglai Shares" in several periods from September 16 to 17, 2015 by means of false declaration of reverse selling after buying and reverse selling after driving up the share price in the session, as follows: On September 16, 2015, between 14:20:17 and 14:33:34, the "Chu Lianjiang" account reported buying 862000 shares of "Zhonglai Shares" for 17 consecutive times at a price between 30.02 yuan and 31.40 yuan (with a fluctuation range of 4.60%), and 11 orders were cancelled, totaling 677900 shares. 182100 shares were actually sold, and 100 shares were sold at a price of 31.32 yuan and all were sold. The declared buying volume of this account accounted for 58.44% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 35.29% of the actual buying volume of the market in the same period. The account reported 9 cases where the purchase entrustment price exceeded the market price at the previous moment, accounting for 52.94%, and 8 cases where the entrustment file was at the first level, accounting for 47.06%. 14: During the period from 20:17 to 14:50:44, the initial share price of "Zhonglai Shares" was 30 yuan, the lowest was 30 yuan, and the highest price was 31.35 yuan at 14:22:06, the maximum increase during the period was 4.50%. During the above period, the account also declared to buy 30000 shares at 31.40 yuan (higher than the highest price), but immediately withdrew the order; The purchase of 72000 shares was declared at 31.35 yuan, and all of them were closed. 14: During the period from 34:08 to 14:50:44, "Chu Lianjiang" account reported to buy 1323000 shares of "Zhonglai Shares" at the price of 31.00 yuan to 31.35 yuan for 25 consecutive times. 4120 shares were actually sold, with a transaction ratio of 0.31% and a cancellation ratio of 99.69%. The declared purchase volume accounted for 78.13% of the declared purchase volume of the whole market in the same period, and the cancellation volume accounted for 93.33% of the cancellation volume of the whole market in the same period. 14: At 51:06, the account reported selling 21500 shares at 31.35 yuan and all the shares were closed. The average transaction price was 31.35 yuan, and the amount of sales was 674025 yuan. The sales volume accounted for 3.04% of the number of shares that could be sold in the account at that time, and the total profit was 28082.30 yuan. On September 17, 2015, during the period from 10:10:42 to 10:22:37, "Chu Lianjiang" account reported to buy 1990000 shares of "Zhonglai Shares" for 16 consecutive times at the price of 31.65 to 32.00 yuan. 12100 shares were actually sold, with a transaction ratio of 0.61% and a cancellation ratio of 99.39%. The declared purchase volume accounted for 86.54% of the declared purchase volume of the whole market in the same period, and the cancellation volume accounted for 93.56% of the cancellation volume of the whole market in the same period. 10: During the period from 23:58 to 10:24:15, the account declared to sell 35000 shares of "Zhonglai Shares" in two transactions, and 16000 shares were actually sold. The transaction amount was 507884 yuan, the average transaction price was 31.74 yuan, and the profit was - 3985.57 yuan. On September 17, 2015, during the period from 10:26:00 to 10:43:27, "Chu Lianjiang" account reported buying 2210000 shares of "Zhonglai Shares" at a price of 31.61 yuan to 33 yuan (a fluctuation range of 4.40%) for 27 consecutive times, and 22 applications for cancellation totaled 2125950 shares, with 84050 shares actually traded; There were 3 orders to sell 8500 shares in total, and 0 shares were actually sold. The declared buying volume of this account accounts for 88.01% of the declared buying volume of the market in the same period, and the actual trading volume accounts for 33.65% of the actual buying volume of the market in the same period. The account reported 9 cases where the purchase entrustment price exceeded the market price at the previous moment, accounting for 33.33%, and 10 cases where the entrustment file was at the first level, accounting for 37.04%. 10: From 26:00 to 10:43:27, the initial share price of "Zhonglai Shares" was 31.71 yuan, the lowest was 31.71 yuan, and reached the highest price of 32.95 yuan at 10:29:47, with a maximum increase of 3.91%. During the above period, the account also declared to buy 55000 shares at 33 yuan (higher than the highest price), and all of them were closed. 10: Before 26:00, the account held 546194 shares of "Zhonglai Shares" that could be sold. 10: During the period from 44:14 to 10:45:22, the account reported three sales of 43000 shares in total, and 24400 shares were actually sold. The average transaction price was 32.30 yuan, and the sales amount was 788095 yuan. The sales volume accounted for 4.47% of the number of shares that could be sold in the account at that time. The total profit was 13114.36 yuan. On September 17, 2015, between 13:50:19 and 14:09:07, the "Chu Lianjiang" account reported to buy 852000 shares of "Zhonglai Shares" at a price of 32.50 yuan to 34 yuan (a fluctuation range of 4.62%) for 27 consecutive transactions, and 20 applications for cancellation totaled 733100 shares, with 118900 shares actually traded. The declared buying volume of this account accounted for 78.36% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 55.43% of the actual buying volume of the market in the same period. The account reported 10 purchases with the entrusted price higher than the market price at the previous moment, accounting for 37.04%, and 13 purchases with the entrusted file at the first level, accounting for 48.15%. 13: From 50:19 to 14:09:07, the initial share price of "Zhonglai Shares" was 32.44 yuan, the lowest was 32.44 yuan, and the highest price was 33.97 yuan at 13:54:24, the maximum increase during the period was 4.72%. During the above period, the account also declared to buy 50000 shares at 34 yuan (higher than the highest price), and all of them were closed. 13: Before 50:19, the account held 546194 shares of "Zhonglai Shares" that could be sold. 14: At 09:58, the account declared to sell 3000 shares at 33.20 yuan, and 200 shares were actually sold. The average transaction price was 33.20 yuan, and the sales amount was 6640 yuan. The sales volume accounted for 0.04% of the number of shares that could be sold in the account at that time, and the total profit was 141.42 yuan. （7） Manipulation of "Pengling Shares" Chu Lianjiang manipulated "Pengling Shares" in multiple periods from March 4 to 8, 2016 by means of intraday price raising and reverse selling, as follows: On March 4, 2016, during the period from 9:30:45 to 9:38:30, the account group declared to buy 785000 shares of "Pengling Shares" for 15 consecutive transactions at the price of 16.81 yuan to 18 yuan (a fluctuation range of 7.08%), and six applications for cancellation totaled 437000 shares, with 348000 shares actually traded. The declared buying volume of the account group accounted for 59.32% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 51.58% of the actual buying volume of the market in the same period. The account group reported 11 cases where the purchase entrustment price exceeded the market price at the previous moment, accounting for 73.33%, and 12 cases where the entrustment file was at the first level, accounting for 80%. 9: From 30:45 to 9:38:30, the initial share price of "Pengling Shares" was 16.80 yuan, the lowest was 16.80 yuan, and the highest price was 17.98 yuan at 9:37:53, with the maximum increase of 7.02%. During the above period, the account group also declared to buy 170000 shares at 18 yuan (higher than the highest price), and all of them were closed. 9: Before 30:45, the account group held 733525 marketable shares of "Pengling Shares". 9: During the period from 39:06 to 9:43:21, the account group reported 9 sales of 106300 shares in total and all of them were completed. The average transaction price was 17.68 yuan, and the sales amount was 1879618 yuan. The sales volume accounted for 14.49% of the number of shares that the account group could sell at that time, and the total profit was 90982 yuan. On March 8, 2016, between 11:28:52 and 13:12:58, the account group reported to buy 555200 shares of "Pengling Shares" for 18 consecutive transactions at the price of 17.50 yuan to 18.80 yuan (a fluctuation range of 7.43%). Four applications for cancellation totaled 186000 shares. 369200 shares were actually sold, and 1280 shares were reported to be sold at 17.64 yuan and all were sold. The declared buying volume of the account group accounted for 45.42% of the declared buying volume of the market in the same period, and the actual trading volume accounted for 54.76% of the actual buying volume of the market in the same period. The account group reported 15 cases where the purchase entrustment price exceeded the market price at the previous moment, accounting for 83.33%, and 15 cases where the entrustment file was at the first level, accounting for 83.33%. 11: From 28:52 to 13:12:58, the initial share price of "Pengling Shares" was 17.43 yuan, the lowest was 17.41 yuan, and the highest price was 18.38 yuan at 13:01:32, with the maximum increase of 5.57%. During the above period, the account group also reported to buy 50000 shares at 18.80 yuan (higher than the highest price) and 145000 shares at 18.50 yuan, all of which were completed. 11: Before 28:52, the account group held 1982573 marketable shares of "Pengling Shares". 13: During the period from 13:25 to 13:15:21, the account group reported five sales of 31100 shares in total, of which 27900 shares were actually sold, with an average price of 18.02 yuan and a sales amount of 502719 yuan. The sales volume accounted for 1.41% of the number of shares that the account group could sell at that time, and the total profit was 15783.65 yuan. （8） Manipulation of "Ruifeng Advanced Materials" On September 7, 2015, Chu Lianjiang manipulated "Ruifeng High tech Materials" by means of reverse selling after false declaration of purchase at the opening, as follows: On September 7, 2015, during the period from 9:15:02 to 9:17:59, the "Chu Lianjiang" account reported to buy 2800000 shares of "Ruifeng High tech" at the price of 9.67 yuan to 10.63 yuan (9.93% fluctuation range) for five consecutive times. 9: During the period from 16:34 to 9:18:12, the account cancelled 2800000 shares in five transactions, with the cancellation ratio of 100%. The declaration volume accounted for 95.96% of the effective market purchase volume at the time of cancellation, and the cancellation volume accounted for 98.07% of the market cancellation volume between 9:15:00 and 9:20:00. The stock opened at 9.88 yuan, up 2.28% from the closing price of the previous day. 9: At 30:27, the account declared to sell 30000 shares at 10.13 yuan, and cancelled all orders at 9:30:34. The number of shares sold was 0, and the transaction amount was 0 yuan. 9: At 31:00, the account declared to buy 100000 shares at 9.90 yuan, and cancelled all orders at 9:31:16. The number of shares traded was 0, and the transaction amount was 0 yuan. 9: During the period from 31:28 to 9:39:46, the account reported to sell 232000 shares of "Ruifeng High tech" at a price of 9.90 yuan to 10.49 yuan (fluctuation range 5.96%) for five consecutive times. 125600 shares were actually sold, with an average price of 10.05 yuan and a transaction amount of 1262301 yuan. The total profit was 47000.02 yuan. The above illegal facts are proved by such evidence as inquiry records, securities account opening information, bank account information, situation description, trading flow, capital flow, trading order placement address, stock exchange statistics, etc. Chu Lianjiang's above-mentioned acts violate the provisions of Items (1) and (4) of Article 77 of the Securities Law, and constitute market manipulation as described in Article 203 of the Securities Law. |
| Approval content | According to the facts, nature, circumstances and degree of social harm of the illegal act of the party concerned, and in accordance with the provisions of Article 203 of the Securities Law, we have decided to confiscate Chu Lianjiang's illegal income of 425428.65 yuan and impose a fine of 2127143.25 yuan. |
| Handled by | China Securities Regulatory Commission |
|
| Announcement date of rectification notice: July 5, 2017 |
|---|
| title | Ruifeng Gaocai: Notice on Receiving the Handover Form of Safety Production Inspection Problems in Shandong Chemical Industry |
| Relevant regulations | |
| Document batch number | |
| Reason for approval | From June 27, 2017, the Safety Committee of Shandong Provincial People's Government began a special 20 day law enforcement inspection on the production, storage, use and operation of hazardous chemicals in the province. On July 1 and July 2, 2017, the Emergency Action Law Enforcement Team of Shandong Chemical Industry Safety (hereinafter referred to as the "Provincial Safety Inspection Team") conducted safety inspection on Shandong Ruifeng Polymer Materials Co., Ltd. (hereinafter referred to as the "Company"). On July 4, 2017, the Company received the Handover Form for Law Enforcement and Inspection Issues of Emergency Actions of Chemical Industry Safety in Shandong Province (hereinafter referred to as the "Handover Form"). According to the inspection results, some production devices in the company's MBS production plant have potential safety hazards. The provincial security inspection team's disposal opinion is "temporarily suspend production and business", and transfer the relevant problems to Zibo Safety Supervision Bureau for disposal and Yiyuan Safety Supervision Bureau for supervision. |
| Approval content | After receiving the Handover Form and the inspection results, the company attached great importance to it, immediately established a rectification team for potential safety hazards, and organized relevant departments to hold a special rectification meeting; The company employs qualified experts and professional institutions to analyze and discuss relevant problems and propose reasonable rectification measures; The company will timely report and communicate with the municipal and county safety supervision bureaus on the implementation and progress of relevant rectification work and the implementation of the scheme; The company will timely stop production for rectification according to the requirements of the government security inspection department, and then the company will timely disclose the announcement of temporary stop production. |
| Handled by | Safety Committee of Shandong Provincial Government |
|
| Regulatory attention announcement date: June 16, 2017 |
|---|
| title | Letter on Supervision of Shandong Ruifeng Polymer Materials Co., Ltd |
| Relevant regulations | GEM Listing Rules (revised in 2014) |
| Document batch number | GEM Supervisory Letter [2017] No. 30 |
| Reason for approval | The 2016 Annual Performance Forecast disclosed by your company on January 25, 2017 shows that the expected net profit attributable to shareholders of the listed company is 23654800 yuan - 33116700 yuan. On February 28, the 2016 Annual Performance Express disclosed by the company showed that the net profit attributable to shareholders of the listed company was 23.6713 million yuan. On April 8, the Revised Announcement of 2016 Annual Performance Express disclosed by the company showed that the net profit attributable to shareholders of the listed company was 17.8112 million yuan, which was consistent with the actual data of 2016 Annual Report disclosed by the company on April 18. The difference between the estimated amount of net profit of the company's performance forecast and the performance express before correction and the actual amount in 2016 is 5.8436 million yuan and 5.8601 million yuan, with the difference rates of 32.81% and 32.9%, and the correction announcement of the performance express lags behind. |
| Approval content | The above behaviors of your company violate the provisions of Article 11.3.4 and 11.3.8 of the GEM Listing Rules (revised in 2014). Please pay full attention to the above problems, learn from them, and put an end to the recurrence of the above problems. |
| Handled by | Shenzhen Stock Exchange GEM Company Management Department |
|
| Announcement date of punishment decision: December 26, 2014 |
|---|
| title | Ruifeng Gaocai: Reply to the feedback on the application documents for non-public offering of shares |
| Relevant regulations | |
| Document batch number | Decision on Administrative Punishment [2014] No. 1 issued by Shandong Regulatory Bureau |
| Reason for approval | As Bohui Paper failed to disclose the company's 2013 annual report within the specified time limit, failed to perform the obligation of temporary information disclosure, and there were false records in the first quarter report, interim report and third quarter report of 2013, China Securities Regulatory Commission Shandong Regulatory Bureau finally issued the Administrative Punishment Decision to Bohui Paper on December 26, 2014 after investigation and review (No. [2014] No. 1). |
| Approval content | According to the punishment decision, Zhao Yao, an independent director of Bohui Paper, was given a warning and fined 30000 yuan "as other directly responsible persons". |
| Handled by | Shandong Securities Regulatory Bureau |
|
| Announcement date of punishment decision: July 1, 2014 |
|---|
| title | Ruifeng Gaocai: Reply to the feedback on the application documents for non-public offering of shares |
| Relevant regulations | |
| Document batch number | SSE Disciplinary Decision [2014] No. 28, SSE Disciplinary Decision [2014] No. 27, SSE SZGJH [2014] No. 0051 |
| Reason for approval | Zhao Yao, the former independent director of Ruifeng Gaocai, was also an independent director of Shandong Bohui Paper Co., Ltd. (securities code: 600966, hereinafter referred to as "Bohui Paper"). As Bohui Paper failed to disclose the company's 2013 annual report and the first quarter report of 2014 within the statutory time limit, in July 2014, Bohui Paper received the Decision of Shanghai Stock Exchange (hereinafter referred to as "Shanghai Stock Exchange") on Publicly Condemning Shandong Bohui Paper Industry Co., Ltd. and Relevant Responsible Persons (Shanghai Stock Exchange Disciplinary Decision [2014] No. 28) Decision on Notification of Criticism on Relevant Responsible Persons of Shandong Bohui Paper Industry Co., Ltd. (SSE Disciplinary Decision [2014] No. 27) and Decision on Supervising and Paying Attention to Zhao Yao, Nie Zhihong and Guan Xueling, Independent Directors of Shandong Bohui Paper Industry Co., Ltd. (SSE SGJH [2014] No. 0051). According to the SZGJH [2014] No. 0051 document, the independent director Zhao Yao took certain measures to urge the company to prepare and disclose the annual report during the preparation of the annual report, and was relatively responsible for the company's failure to disclose the annual report as required. Therefore, Shanghai Stock Exchange decided to pay regulatory attention to the independent director Zhao Yao and avoid disciplinary punishment. |
| Approval content | The company made corresponding rectification and announcement on the above matters. |
| Handled by | Shanghai Stock Exchange |
|
| Announcement date of rectification notice: July 1, 2013 |
|---|
| title | Ruifeng Gaocai: Reply to the feedback on the application documents for non-public offering of shares |
| Relevant regulations | Measures for On site Inspection of Listed Companies |
| Document batch number | |
| Reason for approval | In July 2013, Shandong Securities Regulatory Bureau conducted an on-site inspection of the listed company in accordance with the relevant provisions of the Measures for On site Inspection of Listed Companies issued by the CSRC, and issued a letter of regulatory opinions, which raised regulatory opinions on the problems in corporate governance, internal control, financial accounting, and the use of raised funds. |
| Approval content | After receiving the Regulatory Opinion Letter, the Company immediately organized a meeting of directors, supervisors, senior executives, heads of the Securities Department, Finance Department, Internal Audit Department and other relevant departments, carefully analyzed the causes of the problems, summarized the rectification plan and implementation plan, and reported to Shandong Securities Regulatory Bureau. |
| Handled by | Shandong Securities Regulatory Bureau |
|
