V viewing financial report ｜ No related transactions and guarantees are disclosed in accordance with regulations!ST foundation and executives were fined 5.5 million

Zhongxin Jingwei, September 22. HNA Basic (stock abbreviation: ST foundation) announced on the evening of the 22nd that due to the failure to disclose non -operating affiliated transactions and related guarantees in accordance with regulations, the company was promptly warned by the CSRC and other chairman. He was fined 5.5 million yuan.

Screenshot source: HNA Basic Announcement

Specifically, HNA founded on September 22, 2022 to receive the "Administrative Penalty Decision" of the China Securities Regulatory Commission. It is found that the following illegal facts exist in the foundation of HNA: HNA Group Co., Ltd. (hereinafter referred to as HNA Group) passed the "HNA Group-Institute/Industrial Group-Single Company" three-story management structure. The financial integration, vertical, and three -layer control and management are implemented financially; cash flow integration management is implemented in funding, and funds are uniformly allocated by HNA Group. HNA foundation belongs to the aforementioned "single company", which lacks independence in financial management and control. It is completed under the organization and control of the HNA Group. As a result, the HNA foundation did not disclose non -operating affiliated transactions and association guarantees in accordance with regulations.

The CSRC believes that the provisions of Article 63 of the Securities Law in 2005 and Article 78, paragraph 1 and 2 of the Securities Law in 2019, which violates HNA "Article 193, paragraph 1 and the behavior described in Article 197, paragraph 1, paragraph 1 and 2 of the 2019 Securities Law.

The relevant directors, supervisors, and senior managers involved in the case of HNA Basic violations of Article 68, paragraph 3) of the Securities Law in 2005 and Article 82, Paragraph 3 and 4 of the Securities Law in 2019, constituted Article 193, paragraph 1 of the Securities Law in 2005, and Article 197, paragraph 1, paragraph 1 and 2 of the Securities Law in 2019, "directly responsible personnel and other directly responsible personnel "".

Lu Xiaoming, then chairman of HNA Basic, fully managed the company's affairs. He knew that HNA Group allocated funds for subordinate companies, participated in the approval of 10 guarantees, and signed the "2018 Annual Report", "2019 Semi -annual Report", "2019" "Annual Report" "Report of the 2020 Annual Report" is not diligent and diligently.

Chen Dehui, then president and director of HNA Basic Basic, knows that HNA Group allocates funds for subordinate companies, participated in the approval guarantee 7, and still signed the voting "2018 Annual Report", "2019 Half of 2019 Report", "2019 Annual Report", "2020 in 2020" The semi -annual report ", not diligent in responsibility, is the above information disclosure of other direct responsible persons.

Shang Duoxu, then the basic financial director and director of HNA, directly accepted instructions such as HNA Group and other instructions responsible for allocating funds for listed companies, participating in the approval and guarantee of more than 30 pens. During his tenure, he did not diligently and diligently. It was the above -mentioned information disclosure of other direct responsible persons.

Liu Tengjian, then the chief financial officer of HNA, directly accepted the instructions of HNA Group and other instructions responsible for allocating the funds of listed companies, participated in the approval guarantee of more than 20 pens, and still signed the voting and passed the "2019 Half -Annual Report". Other direct responsible persons of illegal acts.

Xing Xihong, then the chief financial officer of HNA, directly accepted the instructions of HNA Group and other instructions responsible for allocating the funds of listed companies, participated in the approval guarantee of more than 20 pens, and signed the "2019 Annual Report" and "2020 Annual Report". The responsibility is the above information disclosure of other direct responsible persons.

Fan Ning, then the basic director of HNA, knows the funds of HNA Group allocated and managed the funds of subordinate companies, participated in the approval guarantee, and signed the voting to pass the "2018 Annual Report" and "2019 Half Annual Report". The above -mentioned illegal disclosure association guarantee acts are other direct responsible persons.

Huang Xiang, then the Chairman of HNA Basic Supervisor, participated in 6 guarantees for approval, signed and voted through the "2019 Annual Report" and "Half of the 2020 Annual Report". personnel.

Xu Huicai, then the vice president of HNA Basic, also served as the chairman of Sanya Phoenix International Airport Co., Ltd. (hereinafter referred to as Sanya Airport). "Annual Report", not diligent in responsibility, is the other direct responsible persons who disclosed the associated guarantee during their tenure.

The CSRC stated that the illegal act of this case crosses the new and old law. According to the facts, nature, plot and social harm of the parties, the CSRC decides: Alert the HNA foundation and imposed a fine of 1.3 million yuan; he warned Lu Xiaoming and fined 700,000 yuan; he warned Chen Dehui, Xing Xihong, and Huang Xiang, and fined 500,000 yuan.

In response to the non -operating affiliated transactions in time from July to December 2020, in accordance with relevant regulations, the CSRC decided to give a warning to the HNA basis and imposed a fine of 700,000 yuan;Fined fines of 10,000 yuan; warning Chen Dehui and Xing Xihong, and a fine of 200,000 yuan.In response to the behaviors of Shang Duoxu, Liu Tengjian, Fan Ning, and Xu Huicai, according to regulations, the CSRC decided to give warnings to Shang Duoxu and Liu Tengjian and imposed a fine of 200,000 yuan;100,000 yuan fine.Zhongxin Jingwei calculations found that the aforementioned fine was 5.5 million yuan.

In terms of the secondary market, HNA Basic (ST foundation) closed up 0.85%to 3.56 yuan/share, down 21.41%since the beginning of the year, and the current market value is 40.7 billion yuan.(Zhongxin Jingwei APP)

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