新闻 > 经济
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China

证监会对5宗案件作出行政处罚

2017-06-16 17:23:30   

近日,证监会依法对5宗案件作出行政处罚,其中包括:2宗操纵证券期货市场案,2宗内幕交易案,1宗中介机构违法违规案。

2宗操纵证券期货市场案中,一是马永威、曹勇于2016年7月5日至7月18日期间,利用资金优势,通过连续买卖、在涨停板大量申报买单维持涨停价格、虚假报撤单、在自己实际控制的账户之间进行交易等手段,操纵“福达股份”股价,获利共计约2,288万元。马永威、曹勇的上述行为违反了《证券法》第77条规定,依据《证券法》第203条规定,我会决定没收马永威、曹勇违法所得约2,288万元,并对马永威处以约4,577万元罚款,对曹勇处以约2,288万元罚款。二是廖山焱于2015年11月25日至12月23日期间实际控制并利用廖某山、廖山焱等9个自然人名下期货账户,以连续买卖或者自买自卖的方式交易“普麦1601”期货合约,影响“普麦1601”合约价格和交易量,没有违法所得。廖山焱的上述行为违反了《期货交易管理条例(2013年修订)》第3条、第40条规定,构成操纵期货交易价格的行为。依据《期货交易管理条例(2013年修订)》第71条规定,我会决定对廖山焱处以60万元罚款。

2宗内幕交易案中,一是冯玉露系中科英华高技术股份有限公司(简称中科英华)拟收购山东天业房地产开发集团有限公司所持有的山东天业黄金矿业有限公司90%股权这一内幕信息的知情人。内幕信息敏感期内,冯玉露在获悉内幕信息后将内幕信息泄露给王宇勤,王宇勤利用本人证券账户买入“中科英华”1,403,000股,盈利约419万元;苏建朝与冯玉露关系密切,双方在内幕信息敏感期内存在通话联络,且苏建朝控制使用“苏建朝”等7个证券账户交易“中科英华”,共计盈利约877万元。冯玉露的上述行为违反《证券法》第76条规定,构成泄露内幕信息行为。王宇勤、苏建朝的上述行为违反了《证券法》第73条、第76条规定,构成内幕交易行为。依据《证券法》第202条规定,我会决定:(1)没收王宇勤违法所得约419万元,并处以约419万元罚款;对冯玉露处以10万元罚款;(2)没收苏建朝违法所得约877万元,并处以约877万元罚款。二是刘国武全程参与北部湾旅游股份有限(简称北部湾旅)公司收购长岛渤海长通旅运有限公司65%股权的合同谈判,为内幕信息知情人。在内幕信息敏感期内,刘国武利用本人证券账户买入“北部湾旅”50,100股,卖出50,000股,没有违法所得。刘国武的上述行为违反了《证券法》第73条、第76条规定,依据《证券法》第202条规定,我会决定对刘国武处以15万元罚款。

1宗中介机构违法违规案中,北京市天元律师事务所(简称天元所)作为鞍山重型矿山机器股份有限公司与浙江九好办公服务集团有限公司(简称九好集团)重大资产重组项目的法律服务机构,在执业过程中未勤勉尽责,未按规定对九好集团银行存款进行查验,导致未能发现九好集团3亿元定期存款处于质押状态;未按规定将实地调查情况作成笔录;未按规定对查验计划的落实情况进行评估和总结,查验计划未完全落实或不能实现查验目的,也未说明原因或者采取其他查验措施和方法;出具的《法律意见》等文件存在虚假记载及重大遗漏。天元所的上述行为违反了《证券法》第20条、第173条规定,依据《证券法》第223条规定,我会决定没收天元所业务收入150万元,并处以750万元罚款;对直接负责的主管人员史振凯、刘冬、于进进给予警告,并分别处以10万元罚款。

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。我会将持续对证券期货违法违规活动进行严厉打击,依法维护资本市场运行秩序,切实防范资本市场风险,有效促进资本市场规范发展。

404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China

相关阅读

404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
分享到:
0 0
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China

美图推荐

404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China

为您推荐

加载更多>>
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China
404 Not Found

404 Not Found

Sorry for the inconvenience.
Please report this message and include the following information to us.
Thank you very much!

URL: http://3g.china.com:8080/act/news/11155042/20170616/30752971.html
Server: cms-8-251
Date: 2024/12/27 04:45:10

Powered by China
China