On 88 cases in the first half of the CSRC made the confiscated money 2.554 billion
Xinhua Beijing July 1 electric 1st China SFC spokesman Zhang Xiaojun, said, 2016 first half of, SFC on 88 up case made punishment, made administrative punishment decided book 109 copies, more last year earlier growth 84.75%, confiscated paragraph amounted to 2.554 billion yuan, made market ban into decided Book 4 copies, on 7 people implementation market ban into, which 2 people was implementation lifelong market ban into, administrative punishment of closed efficiency and punishment efforts continued upgrade.
Zhang Xiaojun said securities law in the first half, strictly, comprehensively perform law enforcement duties, strict and efficient standard civilization carried out administrative punishments, the faithful maintenance of the market "sangong" principle, adequately protect the interests of investors, provided strong guarantee for the healthy development of the capital market.
Information disclosure is unlawful punishment 15 such cases. Bo Yuan investment on suspicion of illegal disclosure, not disclosing important crime and counterfeit or altered financial instruments information in March 2015, transferred to the public security organs, Bo Yuan investment suspension, May terminate the listing this year. Xintai electric suspected fraudulent issuance and information disclosure law, after hearing the review has entered the closing process. Asia Pacific industry case, rongfeng holdings case, Cornwall agricultural related offences punished by the top of the case, Shanghai shalt have plenty of illegal abuse of shareholders ' rights in the case, itself on the non-disclosure of specified information media published information may have a greater impact on a company's share price, constitutes a violation of information disclosure law. Issuer and wide violation of information disclosure of listed company stakeholders, social influence, undermine the integrity of the capital market base, the SFC will always adhere to the information disclosure supervision Center concept, focus on the implementation of financial fraud disclosure violations, such as governance and crack down.
Second, insider-trading cases punishment 30. Which, Su Jiahong insider trading "weihua shares" case confiscated amount Super 100 million Yuan, Shen Qiyong insider trading "cotton world shares" case, and ouyangjundong insider trading "victory precision" case, and Zhang Haiguang insider trading "any child line" case, and Huang Zhihao insider trading "world Rong Zhaoye" case, 5 up case confiscated amount are over 10 million Yuan, Xia Xue, and Shi Naishan insider trading "Pingtan development" case, Liu Rubao, and Shao Dongping insider trading "in the steel JI carbon" case, Li Caixia insider trading "trendy industrial" case, Zhong Xun insider trading " Pubang gardens "case, Wang Zhiyuan Insider" Jolly pharmaceutical industry "5 cases and confiscated amounts are more than 5 million Yuan. 24 cases of suspected insider information and private placement or material asset reorganization of listed companies, accounted for more than 80%. Of assets of listed company mergers and acquisitions market continues to heat up, as individual "insiders" seek personal gain provides an opportunity, their information to engage in insider trading or disclosing inside information to another person, violates its fiduciary duties for the company and shareholders, some even resulting in abnormal fluctuations affect the normal process of mergers. The SFC on insider trading has always been keeping a close eye, monitor networks but, once verified, dead to rights II.
Third, market manipulation cases punishment 18. Which, in the Xin rich surplus, and Wu Junle manipulation "special force a,", stock case confiscated amount over 1 billion yuan, Huang Xinming manipulation "first Brigade hotel", stock case confiscated amount over 500 million Yuan, Qu Mingshu manipulation "constant source coal electric", stock case, and Tang long manipulation "Bohai piston" stock case confiscated amount over 100 million Yuan, Spike rich investment manipulation "wanfushengke", stock case, and Chen Yun manipulation "beauty Hin up", stock case confiscated amount over 10 million Yuan, Hu Kunming manipulation "nine Chau electrical", stock case, and Chen Mingxian manipulation "work Shembe "Stocks such as confiscation of more than 5 million Yuan. With market structure, and market depth, and liquidity of changes and trading varieties of increased, manipulation behavior rendering out some new of technique and features, as different Yu traditional of "dealer type" manipulation, Wu Junle case, and Qu Mingshu case of illegal subject through "short frequency fast" of way, in short time within completed "positions-pulled lift-shipping" process; River Springs case, and Chen Cenyu case illegal subject using thaw coupons trading T+0 days Rotary mechanism, through to obviously above market with moments buy a document volume of sold single frequently delegate continuous declared sold suppressed shares, Shares reverse buying practices after profit; Zhu Dehong case was identified as information to manipulate the market for the first time. Acts of market manipulation to disrupt normal price formation in the market mechanism, disturbs the market signals and reduces market efficiency, regardless of the means used, cannot evade legal sanctions.
Four-story 5 cases penalties, dissemination of false information. Among them, the China chain store magazine spread, "Mr Huang's early release from jail", Chongqing Brocade media dissemination of false information ", China Telecom and China Unicom merged, merged with the wide network of China Mobile", win business network dissemination of false information "Wanda cinema line suspension would acquire the Golden Plaza theater and art en Web" misleading information, in connection with the subject being the top penalty. Market information authenticity, objectivity is important content of order in the market, reasonable trust of our investors for market information is the basis of stock market run, making dissemination of misleading information, damage to a reasonable investor trust, undermines the integrity of the market environment, constitutes disruption in the securities market must be strictly punished.
Five futures manipulation penalties in such cases is 1. Schf, Tao, Fu Xiangnan through pooling capital, position, continuous trading and traded between his actual control of accounts, manipulating the Dalian commodity exchange "plywood 1502" futures contract price, was sentenced to more than 3 million Yuan confiscated and was to take the futures market entry measures. In addition, the "PVC 1501" manipulation has entered the case informed the hearing procedure. Futures manipulation affects the price discovery function of futures market play, securities and futures market manipulation, found, and resolutely curb excessive speculation in the futures market into play service function in the real economy.
Six illegal punishment in such cases is private fund 3. Zhe Lin violation of investors in the Fund raising process eligibility system, melting Castle in the sell funds exposed to specific objects on the process of promotion, illegal promises benefits and many other violations, Spike investment breach illegal stock holdings, are sentenced to the corresponding administrative punishments. Private equity made rapid development in recent years, but illegal operations have also occurred, market level need to be improved, the SFC will continue to increase in the subsequent regulatory enforcement of violations dealt with severely according to law, forcing market institutions that establish compliance awareness in advance to ensure the sustainable and healthy development of the industry.
Seven illegal punishment in such cases is intermediaries 2. Lee Arthur Andersen accounting firm in the CCID media 2012 audit of annual financial statements without due diligence, was fined 700,000 yuan and confiscated money penalties, signed and certified public accountant is a warning and a fine of 50,000 yuan, respectively. Homey, Kaiyuan appraisals Ltd intends to issue corporate bonds, mortgage-backed assets assessment without due diligence, was fined 600,000 yuan and confiscated money penalties, signed and Certified appraiser was warned and fined 50,000 yuan respectively. Intermediaries is an important defense of capital market governance, should be conscientious fulfilment of legal obligations, the SFC will continue to increase enforcement of regulation of intermediaries, responsible and urge them to back, play a good capital market "gatekeeper" role.
Eight is the short term trading penalty in such cases 3. Supor group, as shareholding "lucky" 5% per cent of shareholders, because short-term trading "lucky" be punished by a warning. Yangtze River logistics, as shareholder representative supervisors Ai Qiang, duration of short-term trading the company's stock was punished by warning, fine of 60,000 yuan. Han Ding shares as financial director Wang Zhibin, duration of short-term trading the company's stock was punished by warning, fine of 30,000 yuan. Directors, supervisors and senior managers of listed companies and a significant shareholder, objectively "Insider" information superiority, this advantage often conceals behind short-term trading abuses for personal gain motivations against major shareholders for minority shareholders, directors high for shareholders of the fiduciary duty. SFC by cracking down on short-term trading, effectively for at an informational disadvantage minority investors provides a protective barrier, "sangong" principle into practice.
Nine are listed companies shares system illegal punishment 2 such cases. Shen Xian source by hiding ginseng procurement, sales less costs, as well as by way of unfair affiliated transactions to inflate revenue to inflate profits, was fined 600,000 yuan top fines. Hagrid logistics for failure to timely disclosure of related transaction information is punishable by a fine of 300,000 yuan. Unit transfer system is an important part of the multi-level capital market, securities in strict accordance with the State Council on issues related to national SMEs share transfer system decision, mutatis mutandis, the relevant provisions of securities law on responsibility subject and strict enforcement of the shares system, strengthen supervision, and safeguard the legitimate rights and interests of investors.
In addition, the first half penalty in China illegal stock trading case 2, using undisclosed information trading 1 cases, illegal stock holdings case 2 cases, limit the sale of shares within the period 1, 2 using other people's accounts of legal persons trading in securities cases, employees privately accept customers ' authorization to sell securities cases 1.
The next step, the Commission will continue to adhere to "in accordance with law, strict and comprehensive" regulatory principles, and always maintain the high-pressure situation of violation of the Securities and futures, to maintain an open, fair and just market order, safeguarding the legitimate rights and interests of investors, especially small investors, promote the steady and healthy development of the capital market.
(Editors: Pan Yi burn UN657)
2016-07-01 18:51:26
Xinhua

中国证监会上半年对88起案件作出处罚 罚没款25.54亿
新华网北京7月1日电 1日中国证监会新闻发言人张晓军表示，2016年上半年，证监会对88起案件作出处罚，作出行政处罚决定书109份，较去年同期增长84.75%，罚没款共计25.54亿元，作出市场禁入决定书4份，对7人实施市场禁入，其中2人被实施终身市场禁入，行政处罚的结案效率和惩处力度持续提升。

　　张晓军说，上半年证监会依法、从严、全面履行监管执法职责，严格高效规范文明开展行政处罚工作，忠实维护市场“三公”原则，充分保护投资者合法权益,为资本市场的健康发展提供了强有力保障。

　　一是信息披露违法类案件处罚15起。博元投资因涉嫌违规披露、不披露重要信息罪和伪造、变造金融票证犯罪，2015年3月移送公安机关，博元投资暂停上市，今年5月终止上市。欣泰电气涉嫌欺诈发行及信息披露违法，经听证复核已进入结案程序。亚太实业案、荣丰控股案、康华农业案的相关违法主体被顶格处罚，上海宝银案的违法主体滥用股东权利，在非指定信息披露媒体自行发布对上市公司股价可能产生较大影响的信息，构成信息披露违法违规行为被依法处理。发行人、上市公司的信息披露违法行为涉众面广，社会影响大，破坏资本市场的诚信基础，证监会将始终坚持以信息披露为中心的监管理念，对财务欺诈等信息披露违法行为实施重点治理和严厉打击。

　　二是内幕交易类案件处罚30起。其中，苏嘉鸿内幕交易“威华股份”案罚没金额超1亿元，申启永内幕交易“绵世股份”案、欧阳俊东内幕交易“胜利精密”案、张海光内幕交易“任子行”案、黄芝颢内幕交易“世荣兆业”案等5起案件罚没金额均超过1000万元，夏雪、石乃珊内幕交易“平潭发展”案，刘如宝、邵东平内幕交易“中钢吉炭”案，李彩霞内幕交易“新潮实业”案，钟迅内幕交易“普邦园林”案，王智元内幕交易“佐力药业”案等5起案件罚没金额均超过500万元。有24起案件的涉案内幕信息与上市公司非公开发行或重大资产重组事项相关，占比80%。上市公司资产并购市场的持续升温，为个别“内部人士”谋取个人私利提供了可乘之机，他们利用信息优势从事内幕交易，或者泄露内幕信息给他人，严重违背了其对于公司和股东所担负的信义义务，有的甚至造成股价异常波动而影响并购重组的正常进程。证监会对内幕交易行为始终保持密切关注，监控网络疏而不漏，一经查实，严惩不怠。

　　三是市场操纵类案件处罚18起。其中，中鑫富盈、吴峻乐操纵“特力A”等股票案罚没金额超过10亿元，黄信铭操纵“首旅酒店”等股票案罚没金额超过5亿元，瞿明淑操纵“恒源煤电”等股票案、唐隆操纵“渤海活塞”股票案罚没金额超过1亿元，穗富投资操纵“万福生科”等股票案、陈贇操纵“美欣达”等股票案罚没金额超过1000万元，胡坤明操纵“九洲电气”等股票案、陈明贤操纵“上工申贝”等股票案罚没金额超过500万元。随着市场结构、市场深度、流动性的变化和交易品种的增多，操纵行为呈现出一些新的手法和特点，如不同于传统的“坐庄式”操纵，吴峻乐案、瞿明淑案的违法主体通过“短频快”的方式，在短时间内完成“建仓-拉抬-出货”过程；江泉案、陈岑宇案违法主体利用融券交易T+0日内回转机制，通过以明显高于市场同时刻买一档量的卖单频繁委托连续申报卖出打压股价，待股价下跌后即反向买入的手法获利；朱德洪案则首次被认定为利用信息优势操纵市场。市场操纵行为破坏了市场正常的价量形成机制，扰乱了市场信号，降低了市场效率，无论其采用何种手段，均不能逃避法律的制裁。

　　四是编造、传播虚假信息类案件处罚5起。其中，《中国连锁》杂志传播“黄光裕提前出狱”虚假信息、重庆云锦传媒传播“中国电信与中国联通合并，中国移动与广电网合并”虚假信息、赢商网传播“万达院线停牌将收购金逸影院及艺恩网”误导性信息，相关涉案主体被顶格处罚。市场信息发布的真实性、客观性是证券市场秩序的重要内容，广大投资者对于市场信息的合理信赖是证券市场健康运行的重要基础，编造传播误导性信息，损害了投资者的合理信赖，破坏了市场的诚信环境，构成对证券市场的扰乱，必须从严处罚。

　　五是期货操纵类案件处罚1起。陶暘、傅湘南通过集中资金优势、持仓优势连续交易以及在自己实际控制的账户之间相互交易等方式，操纵大连商品交易所“胶合板1502”期货合约价格，被处以300余万元罚没款并被采取期货市场禁入措施。此外，“聚氯乙烯1501”操纵案也已进入告知听证程序。期货操纵影响了期货市场价格发现功能的正常发挥，证监会对于期货市场操纵，发现一起，处理一起，坚决遏制期货市场的过度投机，发挥好服务实体经济的功能。

　　六是私募基金违法类案件处罚3起。喆麟基金在募集过程中违反投资者适当性制度，中融金城在销售基金过程中存在向不特定对象公开宣传推介、违规承诺收益等多项违法行为，穗富投资违背承诺非法减持股票，均被处以相应的行政处罚。近几年私募基金行业取得较快发展，但违规运作也时有发生，市场规范化水平亟待提高，证监会将持续加大事中事后的监管执法力度，对违法行为依法从严处理，倒逼市场机构在事前即树立合规意识，确保行业可持续健康发展。

　　七是中介机构违法类案件处罚2起。利安达会计师事务所在对赛迪传媒2012年度财务报表审计过程中未勤勉尽责，被处以70万元罚没款处罚，签字注册会计师分别被处以警告和5万元罚款。开元资产评估有限公司在对好当家拟发行公司债券抵押担保资产进行评估过程中未勤勉尽责，被处以60万元罚没款处罚，签字注册评估师分别被处以警告及5万元罚款。中介机构是资本市场治理的一道重要防线，应当勤勉尽责地履行法定义务，证监会将不断加大对中介机构的监管执法力度，督促其归位尽责，发挥好资本市场“看门人”的作用。

　　八是短线交易类案件处罚3起。苏泊尔集团作为持股“苏泊尔”5%以上的股东，因短线交易“苏泊尔”被处以警告。皖江物流时任股东代表监事艾强，因任职期间短线交易本公司股票被处以警告、6万元罚款。汉鼎股份时任财务总监王智斌，因任职期间短线交易本公司股票被处以警告、3万元罚款。上市公司董事、监事、高级管理人员和大股东，客观上具备“内部人”的信息优势，短线交易背后往往掩盖着滥用此种优势谋取私利的动机，违背了大股东对于中小股东、董监高对于股东所担负的信义义务。证监会通过严厉打击短线交易行为，切实为处于信息劣势地位的广大中小投资者提供保护屏障，将“三公”原则落到实处。

　　九是股转系统挂牌公司违法类案件处罚2起。参仙源通过隐瞒人参采购、销售时少计成本、以及通过不公允的关联交易虚增收入的方式虚增利润，被处以60万元顶格罚款。海格物流因未及时披露关联交易信息被处以30万元罚款。股转系统是多层次资本市场的重要组成部分，证监会严格依照《国务院关于全国中小企业股份转让系统有关问题的决定》，比照《证券法》关于市场主体法律责任的相关规定，对股转系统严格执法，加强事中事后监管，保障投资者合法权益。

　　此外，上半年还处罚了从业人员违法买卖股票类案件2起，利用未公开信息交易案件1起，违法减持股票案件2起，限制期限内买卖股票案件1起，法人利用他人账户买卖证券案件2起，从业人员私下接受客户委托买卖证券案件1起。

　　下一步，证监会将继续坚持“依法、从严、全面”的监管原则，始终保持对证券期货违法违规行为的高压态势，维护公开、公平、公正的市场秩序，维护投资者特别是中小投资者的合法权益，促进资本市场稳定健康发展。
(责任编辑：潘奕燃 UN657)
2016-07-01 18:51:26
新华网