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证监会对2宗案件作出行政处罚

2017-08-25 17:26:22   央广网

央广网8月25日消息 近日,证监会依法对2宗案件作出行政处罚,其中包括:1宗操纵市场案,1宗中介机构违法违规案。

1宗操纵市场案中,2015年6月26日(周五)14时51分至14时59分,周晨控制使用其本人证券账户,利用资金优势,大笔、连续申报买入“新农开发”,在涨停价大笔封单锁定“新农开发”价格。2015年6月29日(周一)9时24分至10时36分,周晨将上一交易日买入的“新农开发”股票全部卖出,获利约220.5万元。周晨的上述行为违反了《证券法》第77条规定,依据《证券法》第203条规定,我会决定没收周晨违法所得约220.5万元,并处以约220.5万元罚款。

1宗中介机构违法违规案中,中兴华会计师事务所(特殊普通合伙)(简称中兴华所)在为珠海市博元投资股份有限公司开展2012年、2013年财务报表审计中未勤勉尽责,未执行必要的审计程序,未获取充分适当的审计证据。中兴华所的上述行为违反了《证券法》第173条规定,依据《证券法》第223条规定,我会决定责令中兴华所改正,没收业务收入150万元,并处以450万元罚款;对直接负责的注册会计师聂捷慧、张学锋给予警告,并分别处以10万元顶格罚款;对直接负责的注册会计师李尊农给予警告,并处以5万元罚款。

上述行为违反了证券期货法律法规,破坏了市场秩序,必须坚决予以打击。我会将持续保持执法高压态势,严厉惩处各类违法违规行为,维护公开、公平、公正的市场秩序,促进资本市场健康发展。

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