根据《办法》第五十一条第一款有关规定，你公司董事长兼总经理刘兴胜、董事会秘书张雪峰、财务总监叶一萍对上述违规事项负有主要责任。根据《上市公司现场检查规则》(证监会公告(2022)21号)第二十一条规定和《办法》第五十二条规定，我局决定对你公司采取责令改正并对刘兴胜、张雪峰、叶一萍采取出具警示函的行政监管措施。你们应认真汲取教训，切实加强规范运作、募集资金使用管理、信息披露等方面证券法律法规学习，在收到本决定书之日起三十个工作日内向我局提交书面整改报告。Juguang Technology (688167.SH) announced that the company recently received a notice from the Shaanxi Regulatory Bureau of China Securities Regulatory Commission...
According to the Zhitong Finance APP, Juguang Technology (688167.SH) announced that the company recently received an administrative regulatory measure decision document from the Shaanxi Regulatory Bureau of China Securities Regulatory Commission (referred to as "Shaanxi Securities Regulatory Bureau") titled "Regarding the Order for Correction Against Xi'an Juguang Technology Co., Ltd. and Administrative Regulatory Measures in the Form of Warning Letters Against Liu Xing Sheng, Zhang Xue Feng, and Ye Yi Ping." The relevant situation is announced as follows:
Xi'an Juguang Technology Co., Ltd., Liu Xing Sheng, Zhang Xue Feng, Ye Yi Ping: Upon investigation, your company has the following issues: 1. The accounting for Stock-based Incentive expenses is not standardized; 2. The management and use of raised funds are not standardized: certain matters regarding the replacement of raised funds with self-raised funds have not followed the review procedures, and some raised funds are not managed and used in a dedicated account; 3. The information disclosure related to raised funds is incomplete.
According to the provisions of Article 51, Paragraph 1 of the Measures, your company’s Chairman and General Manager Liu Xing Sheng, the Board of Directors Secretary Zhang Xue Feng, and Chief Financial Officer Ye Yi Ping bear primary responsibility for the above-mentioned violations. In accordance with Article 21 of the "Rules for On-site Inspections of Listed Companies" (China Securities Regulatory Commission Announcement (2022) No. 21) and the provisions of Article 52 of the Measures, our bureau decides to impose administrative regulatory measures, ordering corrections and issuing warning letters to Liu Xing Sheng, Zhang Xue Feng, and Ye Yi Ping. You should seriously learn from this lesson and strengthen the study of securities laws and regulations related to standardized operations, management of raised fund usage, and information disclosure. A written rectification report should be submitted to our bureau within thirty working days from the date of receipt of this decision document.