Recently, Qisun Technology Co., Ltd. (hereinafter referred to as ‘Qisun Technology’) announced that certain senior executives and employees have received warning letters from the Zhejiang Bureau of the China Securities Regulatory Commission (CSRC). The investigation revealed that these individuals engaged in improper trading of the company’s shares prior to the official disclosure of the company’s 2023 annual earnings forecast, violating provisions of the ‘Measures for the Administration of Information Disclosure by Listed Companies’ and the ‘Securities Law,’ which prohibit insiders from trading based on non-public material information. In response, the Zhejiang CSRC Bureau issued administrative warning letters and urged the company to enhance internal compliance training and strengthen its governance systems. Qisun Technology stated it will implement corrective measures, improve its information disclosure protocols, and prevent similar incidents in the future. While this incident has not directly impacted the company’s normal operations, it highlights room for improvement in internal controls and compliance awareness, underscoring the importance for listed companies to continuously refine corporate governance and safeguard investor rights.
近日，麒盛科技股份有限公司（以下简称“麒盛科技”）发布公告称，公司部分高管及工作人员于近期收到中国证券监督管理委员会浙江监管局出具的警示函。经核查，相关人员在公司2023年年度业绩预告披露前存在违规买卖公司股票的行为，违反了《上市公司信息披露管理办法》及《证券法》关于内幕信息知情人不得利用未公开信息进行交易的相关规定。浙江证监局据此对涉事人员采取出具警示函的行政监管措施，并要求公司加强内部合规培训与制度建设。麒盛科技表示将认真整改，强化信息披露管理，杜绝类似事件再次发生。此次事件虽未对公司正常经营造成直接影响，但反映出公司在内控和合规意识方面仍有提升空间，也提醒上市公司需持续完善治理结构，切实维护投资者合法权益。
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