On November 4, the national stock transfer company reported the supervision of companies listed on the new third board and relevant subjects in October. In October, the national stock transfer company gave disciplinary sanctions for four violations; Self regulatory measures were taken for 79 violations, of which 52 violations were taken self regulatory measures of oral warning and interview, and 27 violations were taken self regulatory measures in writing. The four violations subject to disciplinary sanctions include: first, Tongchuang Jiuding Investment Management Group Co., Ltd. (hereinafter referred to as "Jiuding group") deliberately concealed the number of shareholders actually subscribing for the directional issuance of shares in the process of directional issuance of shares in 2014, and made false records in information disclosure documents such as stock issuance plan. Jiuding group has the above information disclosure violation, and the relevant responsible subjects such as director and general manager Huang Xiaojie fail to perform their duties faithfully and diligently. According to relevant regulations, the national share transfer company gives disciplinary sanctions of public condemnation to Jiuding group and other relevant responsible subjects, and gives disciplinary sanctions of circular criticism to Huang Xiaojie and other relevant responsible subjects. Second, Hubei Yinfeng cotton Co., Ltd. (hereinafter referred to as "Yinfeng cotton") lent a total of 714.3 million yuan to its controlling shareholders from 2017 to October 2019, with a maximum daily occupation of 464.3 million yuan, accounting for 118.07% of the net assets attributable to the shareholders of the company in 2018; The total amount of funds lent to subsidiaries of its controlling shareholder was 185.18 million yuan, with a maximum daily occupation of 95.18 million yuan, accounting for 24.20% of the net assets attributable to shareholders of the company in 2018. Yinfeng cotton did not timely perform the review procedures on the above matters, nor did it perform the obligation of information disclosure in accordance with the provisions; Zhong Chunming, then chairman and general manager, and other relevant responsible subjects failed to perform their duties faithfully and diligently. According to relevant regulations, the national share transfer company shall give disciplinary punishment of circulating a notice of criticism to Yinfeng cotton, Zhong Chunming and other relevant responsible subjects. Third, Yibin Huimei fiber new material Co., Ltd. (hereinafter referred to as "Huimei") transferred 35% of the equity of a company controlled by it in 2021, and the relevant transactions constituted a major asset restructuring. Huimei completed the implementation of major asset restructuring when it did not fully perform its internal decision-making procedures and information disclosure obligations and did not apply for suspension in time; Chairman Hu Zhi and other relevant responsible subjects failed to perform their duties faithfully and diligently. According to relevant regulations, the national share transfer company shall give disciplinary punishment of circulating criticism to Huimei shares, Hu Zhi and other relevant responsible subjects. Fourth, Jia Qi, the controlling shareholder, actual controller and chairman of Xi'an Lanan New Technology Co., Ltd. (hereinafter referred to as "Lanan technology"), pledged 2500000 shares of the company on April 2, 2021, accounting for 50% of the total share capital of the company. Lanan technology failed to disclose the relevant pledge in time, and Jia Qi and other relevant responsible subjects failed to perform their duties faithfully and diligently. According to relevant regulations, the national stock transfer company gives disciplinary punishment of circulating a notice of criticism to lan'an technology, and takes self-discipline supervision measures of issuing a warning letter to Jia Qi and other relevant responsible subjects. In October, the violations of written self-regulation measures included information disclosure violations, corporate governance violations, stock issuance, M & A violations and equity change violations. In terms of violations of information disclosure, first, the listed company failed to disclose major information that should be disclosed in time, such as major litigation information, information that more than 5% of the shares of the listed company held by any shareholder were pledged and frozen, information that the listed company and its subsidiaries and then directors were listed as dishonest Executees, and information that assets were frozen; Second, the acquirer failed to disclose the acquisition report, professional opinions of financial advisers and legal opinions in time; Third, the relevant responsible subjects of listed companies have share holding behavior, resulting in unclear equity of listed companies and non-standard information disclosure; Fourth, there are significant accounting errors in the periodic reports disclosed by listed companies; Fifth, the listed company did not reply to the inquiry letter on time; Sixth, the listed company failed to disclose the changes of controlling shareholders, actual controllers and industrial and commercial registration in time; Seventh, the listed company did not disclose the repurchase progress and result announcement in time. In terms of corporate governance violations, first, the controlling shareholders, actual controllers and enterprises controlled by the listed company occupy the funds of the listed company; Second, the listed company's related party transactions failed to fulfill the review procedures and information disclosure obligations in time; Third, the listed company failed to timely perform the review procedures and information disclosure obligations for major transactions; Fourth, the agreement signed by the listed company and relevant responsible subjects with the investment object before listing involves special investment terms, and the listed company has not fulfilled the review procedures or disclosed in the application documents for listing; Fifth, the listed company did not open a special account for repurchase of securities. In terms of violations of stock issuance, M & A and reorganization, first, the agreement signed between the relevant responsible subjects of the listed company and the issuing object in the process of stock issuance involves special investment terms, which the listed company did not disclose in time; Second, the relevant responsible subjects of listed companies have the situation of holding shares on behalf of others in the process of stock issuance; Third, the listed company failed to fulfill the review procedures and information disclosure obligations in time for major asset restructuring, and failed to apply for suspension in time. In terms of violations of equity changes, the main reason is that after the equity shares owned by investors and their concerted actors reach 10% of the issued shares of the listed company, the trading is not suspended every time the equity shares increase or decrease by an integral multiple of 5%. The national stock transfer company said that in accordance with "building systems, non intervention and zero tolerance", it earnestly fulfilled its front-line supervision responsibilities, continued to strengthen self-discipline supervision, continuously improved the operation quality of the new third board market and the standardized operation level of market subjects, resolutely took regulatory measures for violations, effectively protected the legitimate rights and interests of investors and ensured the healthy and orderly development of the new third board market. (outlook new era)