近日，中国证监会对上海思尔芯技术股份有限公司（以下简称思尔芯或公司）在申请科创板首发上市过程中的欺诈发行行为进行了严厉的行政处罚。这是自新《证券法》实施以来，首次在发行人提交申报材料后且未获得注册前，被监管机构查处的欺诈发行案件。
证监会表示，思尔芯在申请科创板上市过程中，存在虚假记载、误导性陈述或者重大遗漏等违法行为。这严重违反了证券法律法规，扰乱了资本市场秩序，损害了投资者利益。因此，证监会依据相关法律法规，对思尔芯及相关责任人员作出了严厉的行政处罚。
此次证监会的行政处罚，彰显了监管部门维护资本市场秩序、保护投资者权益的决心和力度。这也给所有拟上市企业及相关责任人敲响了警钟，提醒他们必须严格遵守证券法律法规，诚实守信，不得有任何违法行为。
English Title: China SEC Cracks Down on Fraudulent Listing on Science and Technology Board
Keywords: China SEC, fraudulent listing, Science and Technology Board
News content:
Recently, the China Securities Regulatory Commission (CSRC) has imposed strict administrative penalties on Shanghai Siric Technology Co., Ltd. (hereinafter referred to as Siric or the company) for its fraudulent listing behavior in the application process for the Science and Technology Board IPO. This is the first case of fraudulent listing detected by the regulatory authority after the submission of application materials but before the registration is obtained, since the implementation of the new Securities Law.
The CSRC stated that Siric, in the process of applying for listing on the Science and Technology Board, engaged in false recording, misleading statements, or significant omissions, which seriously violated securities laws and regulations, disrupted the order of the capital market, and harmed the interests of investors. Therefore, based on relevant laws and regulations, the CSRC has imposed severe administrative penalties on Siric and related responsible persons.
This administrative penalty by the CSRC demonstrates the regulator’s determination and commitment to maintaining the order of the capital market and protecting investor interests. It also serves as a warning to all companies preparing for listing and related responsible persons, reminding them of the strict adherence to securities laws and regulations, honesty, and integrity, and prohibiting any illegal behaviors.
【来源】http://www.chinanews.com/cj/2024/02-09/10162135.shtml
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