(a)CA 公司法 Code § 17713.12(a) 如果有限责任公司同时符合以下两项条件,则其应承担不超过一百万美元($1,000,000)的民事罚款:
(1)CA 公司法 Code § 17713.12(a)(1) 实际知悉有限责任公司的成员、高级职员、经理或代理人实施以下任何一项行为:
(A)CA 公司法 Code § 17713.12(a)(1)(A) 制作、发布或张贴,或已制作、发布或张贴,无论是公开地还是私下地向成员或其他人员,以下任何一项:
(i)CA 公司法 Code § 17713.12(a)(1)(A)(i) 关于其事务或财务状况的口头、书面或电子传输的报告、展览、通知或声明,其中包含虚假的重大陈述或遗漏,旨在使有限责任公司的成员权益具有比其实际价值明显更高或明显更低的表观市场价值。
(ii)CA 公司法 Code § 17713.12(a)(1)(A)(ii) 关于运营、价值、业务、利润或支出的口头、书面或电子传输的报告、招股说明书、账目或声明,其中包含重大的虚假陈述或遗漏,旨在使有限责任公司的成员权益具有比其实际价值明显更高或明显更低的表观市场价值。
(B)CA 公司法 Code § 17713.12(a)(1)(B) 拒绝或曾拒绝以法律要求的方式进行任何账簿记录或张贴任何法律要求的通知。
(C)CA 公司法 Code § 17713.12(a)(1)(C) 虚报或隐瞒,或曾虚报或隐瞒向监管机构的重大事实,以欺骗监管机构,规避法定义务或监管义务,或规避法定或监管限制或禁止。
(2)CA 公司法 Code § 17713.12(a)(2) 在实际知悉第 (1) 款所述行为后的 30 天内,有限责任公司明知而未能同时做到以下两项:
(A)CA 公司法 Code § 17713.12(a)(2)(A) 书面通知总检察长或适当的政府机构,除非有限责任公司实际知悉总检察长或适当的政府机构已被通知。
(B)CA 公司法 Code § 17713.12(a)(2)(B) 书面通知其成员和投资者,除非有限责任公司实际知悉成员和投资者已被通知。
(b)CA 公司法 Code § 17713.12(b) 如果有限责任公司或其成员、高级职员、经理或代理人根据 (a) 款第 (1) 项采取或即将采取的行为在报告规定时间内得到纠正或消除,则本节规定的通知要求不适用,除非适当的政府机构通过法规要求披露。
(c)CA 公司法 Code § 17713.12(c) 如果根据本节向总检察长报告的行为涉及总检察长以外的其他机构的政府权限,总检察长应立即将书面通知转交该机构。
(d)CA 公司法 Code § 17713.12(d) 如果未根据 (a) 款第 (2) 项 (A) 目通知总检察长,但有限责任公司合理且真诚地认为其已通过通知 (e) 款第 (5) 项所列的政府机构而遵守了本节的通知要求,则不适用任何罚款。
(e)CA 公司法 Code § 17713.12(e) 就本节而言:
(1)CA 公司法 Code § 17713.12(e)(1) “经理”是指第 17701.01 节 (m) 款所定义的人员,同时具备以下两项:
(A)CA 公司法 Code § 17713.12(e)(1)(A) 对有限责任公司拥有管理权限。
(B)CA 公司法 Code § 17713.12(e)(1)(B) 对有限责任公司的某一方面负有重大责任,包括对有限责任公司的财务运营或财务交易拥有实际权限。
(2)CA 公司法 Code § 17713.12(e)(2) “代理人”是指经有限责任公司授权,向公众就有限责任公司的财务状况作出陈述,且在作出陈述时正在代理权限范围内行事的个人或实体。
(3)CA 公司法 Code § 17713.12(e)(3) “成员”是指第 17701.01 节 (o) 款所定义的人员,在根据 (a) 款第 (2) 项 (B) 目要求披露时为有限责任公司成员的人员。
(4)CA 公司法 Code § 17713.12(e)(4) “Notify its members” means to give sufficient description of an action taken or about to be taken that would constitute acts or omissions as described in paragraph (1) of subdivision (a). A notice or report filed by a limited liability company with the United States Securities and Exchange Commission that relates to the facts and circumstances giving rise to an obligation under paragraph (1) of subdivision (a) shall satisfy all notice requirements arising under paragraph (2) of subdivision (a) but shall not be the exclusive means of satisfying the notice requirements, provided that the Attorney General or appropriate agency is informed in writing that the filing has been made together with a copy of the filing or an electronic link
where it is available online without charge.
(5)CA 公司法 Code § 17713.12(e)(5) “Appropriate government agency” means an agency on the following list that has regulatory authority with respect to the financial operations of a limited liability company:
(A)CA 公司法 Code § 17713.12(e)(5)(A) Department of Financial Protection and Innovation.
(B)CA 公司法 Code § 17713.12(e)(5)(B) Department of Insurance.
(C)CA 公司法 Code § 17713.12(e)(5)(C) Department of Managed Health Care.
(D)CA 公司法 Code § 17713.12(e)(5)(D) United States Securities and Exchange Commission.
(6)CA 公司法 Code § 17713.12(e)(6) “Actual knowledge of the limited liability company” means the knowledge a member, officer, or manager of a limited liability company actually possesses or does not consciously avoid possessing, based on an evaluation of
information provided pursuant to the limited liability company’s disclosure controls and procedures.
(7)CA 公司法 Code § 17713.12(e)(7) “Refuse to make a book entry” means the intentional decision not to record an accounting transaction when all of the following conditions are satisfied:
(A)CA 公司法 Code § 17713.12(e)(7)(A) The independent auditors required recordation of an accounting transaction during the course of an audit.
(B)CA 公司法 Code § 17713.12(e)(7)(B) The audit committee of the limited liability company has not approved the independent auditor’s recommendation.
(C)CA 公司法 Code § 17713.12(e)(7)(C) The decision is made for the primary purpose of rendering the financial statements materially false or misleading.
(8)CA 公司法 Code § 17713.12(e)(8) “Refuse to post any notice required by law” means an intentional decision not to post a
notice required by law when all of the following conditions exist:
(A)CA 公司法 Code § 17713.12(e)(8)(A) The decision not to post the notice has not been approved by the limited liability company’s audit committee.
(B)CA 公司法 Code § 17713.12(e)(8)(B) The decision is intended to give the membership shares in the limited liability company a materially greater or a materially less apparent market value than they really possess.
(9)CA 公司法 Code § 17713.12(e)(9) “Misstate or conceal material facts from a regulatory body” means an intentional decision not to disclose material facts when all of the following conditions exist:
(A)CA 公司法 Code § 17713.12(e)(9)(A) The decision not to disclose material facts has not been approved by the limited liability company’s audit committee.
(B)CA 公司法 Code § 17713.12(e)(9)(B) The decision is intended to give the
membership shares in the limited liability company a materially greater or a materially less apparent market value than they really possess.
(10)CA 公司法 Code § 17713.12(e)(10) “Material false statement or omission” means an untrue statement of material fact or an omission to state a material fact necessary in order to make the statements made under the circumstances under which they were made not misleading.
(11)CA 公司法 Code § 17713.12(e)(11) “Officer” means a person appointed pursuant to Section 17703.02, except an officer of a specified subsidiary limited liability company who is not also an officer of the parent limited liability company.
(f)CA 公司法 Code § 17713.12(f) This section only applies to limited liability companies that are issuers, as defined in Section 2 of the federal Sarbanes-Oxley Act of 2002 (15 U.S.C. Sec. 7201 et seq.).
(g)CA 公司法 Code § 17713.12(g) An action to enforce this section may only be brought by the Attorney General or a district attorney or city attorney in the name of the people of the State of California.