After being investigated for nearly half a year, the SEC’s three main board hair review committee members Cao ship illegal behavior exposed. Beijing Business News reporter noted that, in addition to the ship, there are currently Chen Xiang, Zhu Yi, two former members of the main board of the Board of Review is being investigated. Throughout the above three, are the sixteenth main board of the Securities and Regulatory Commission hair review committee members, by the statistics, three people together audit IPO companies more than 30.
Manipulated ship was double-opened
On the evening of December 3, the official website of the Securities Regulatory Commission showed that recently, the discipline inspection and supervision group of the State Supervision Commission of the Central Commission for Discipline Inspection in the Securities Regulatory Commission and the supervisory organs of Zhejiang Province conducted a file review and investigation into the serious disciplinary violations of the law by Cao Ship, a member of the 12th, 13th and 16th main board of the Securities Regulatory Commission and the former deputy director of the Science and Technology Innovation Board Listing Audit Center of the Shanghai Stock Exchange.
The report said, Cao ship “and the supervision of the service object to form a small circle, often accepting banquets, accepting gifts and gifts; … The report said that Cao ship “and the supervision of the service object … The issuance audit power is alienated into a tool for making profits, illegally accepting a large amount of property, and illegally making profits by taking shares in the proposed listed company, which is a huge amount.”
As a result, Cao Ship was declared double-opened and transferred to justice.
Cao ship resume shows, born in September 1972, Anhui Qianshan, joined the Communist Party of China in June 1997, joined the work in the SSE in July 1997, doctoral degree; from September 2009 to January 2019, served as deputy director of the Shanghai Stock Exchange Corporate Management Department, Issue and Listing Department, Issue and Listing Center; from April 2010 to May 2012, May 2014 to From April 2010 to May 2012 and from May 2014 to September 2017, he was a member of the 12th, 13th and 16th Main Board Issuing and Reviewing Committee of the Securities and Futures Commission; from January 2019 to February 2020, he was the deputy general manager of the Audit II Department of the Science and Technology Venture Exchange Listing Audit Center; from February 2020 to June 2021, he was the general manager of the Audit II Department, the general manager of the Audit III Department and the deputy director of the Science and Technology Venture Exchange Listing Audit Center. Deputy Director of the Center.
Two other former members of the Board are being investigated
The Beijing Business News reporter learned that three members of the Board of Review have been investigated during the year, in addition to Cao Ship, there are Chen Xiang and Zhu Yi.
Among them, according to media reports, in July this year, the former vice president of Tianjian Accounting Firm Chen Xiang was taken away to assist in the investigation, Chen Xiang participated in the work after graduating from the undergraduate program in August 1991, served as a member of the management committee, managing partner, vice president of Tianjian Accounting Firm, served as a full-time member of the 14th, 15th and 16th main board audit committee between 2012 and 2017.
While Zhu Yi was announced to be investigated in November this year, according to the official website of the Securities and Futures Commission on November 26, Zhu Yi, a member of the 14th, 15th and 16th main board of the Securities and Futures Commission, a former researcher of the Shanghai Supervisory Bureau and general manager of the investment banking department of Guotai Junan Securities Company Limited, is suspected of serious violations and is currently under supervision and investigation.
Zhu Yi’s resume shows that born in June 1975, a native of Ningbo, Zhejiang Province, joined the CPC in June 1993, joined the workforce in September 1997, transferred to the Shanghai Securities Regulatory Office of the CSRC in November 2000; from February 2007 to January 2018, served as deputy director of the office of the Shanghai Regulatory Bureau of the CSRC and researcher of the legal system work; from May 2012 to September 2017, served as the CSRC From May 2012 to September 2017, he was a member of the 14th, 15th and 16th Main Board Issuing and Reviewing Committee; from August 2018 to present, he was an assistant to the president of Guotai Junan Investment Management Co., Ltd. and a member of the Executive Committee of the Investment Banking Division and the General Manager of the Investment Banking Department of Guotai Junan Securities Co.
All are members of the 16th Development Review Committee of the Main Board
Throughout the investigation of the above three people, all served as members of the main board of the Securities and Futures Commission, the sixteenth session of the Board of Review.
Statistics, by Zhu Yi, Cao ship, Chen Xiang three IPO companies jointly audited more than 30, including Shuguang shares, Eshang show, Greentown water, Guangxin shares, *ST Sauling, etc..
In the three companies jointly audited, some of them have been filed for investigation, such as *ST Sauling. April 2019, *ST Sauling disclosed that because of the company’s relevant behavior suspected of information disclosure violations, according to the relevant provisions of the Securities Law of the People’s Republic of China, the Securities Regulatory Commission decided to file a case against the company for investigation.
In December 2020, *ST Sauling disclosed to the public that the company’s “2016 Annual Report”, “2017 Annual Report” and “2018 Annual Report” contained false records and “2017 Annual Report” and “2018 Annual Report” contained material omissions, and the SFC decided to give the company a warning and impose a fine of 600,000 yuan.