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近日,证监会依法对3宗案件作出行政处罚,其中包括:1宗内幕交易案,1宗证券从业人员违法买卖股票案,1宗私募基金违法违规案。
1宗内幕交易案中,吴某群系宜宾纸业股份有限公司(简称ST宜纸)第一大股东、第二大股东股权转让协议被解除这一内幕信息的知情人。在内幕信息敏感期内,胡杨杰与吴某群存在通讯联络,后立即使用“唐某凤”账户卖出“ST宜纸”,用时10分钟即将其持有的82,700股“ST宜纸”全部卖出,避损金额约29.3万元。胡杨杰的上述行为违反了《证券法》第73条、第76条规定,依据《证券法》第202条规定,四川证监局决定没收胡杨杰违法所得约29.3万元,并处以约29.3万元罚款。
1宗证券从业人员违法买卖股票案中,黄钦来2011年12月1日至2014年8月20日就职于长城证券股份有限公司,2012年1月13日被任命为总裁助理兼金融研究所所长。在任职期间内,黄钦来利用“袁某睿”、“兰某”及“李某”证券账户买卖股票,共计交易金额约10,893.1万元,盈利约363.5万元。黄钦来的上述行为违反了《证券法》第43条规定,依据《证券法》第199条规定,北京证监局决定没收黄钦来违法所得约363.5万元,并处以约1,090.7万元罚款。
1宗私募基金违法违规案中,深圳前海新富资本管理集团有限公司(简称新富资本)未在产品存续期间按照基金业协会的规定办理基金备案手续;向非合格投资者募集资金;向不特定对象推介私募基金;在销售相关产品过程中未对所有投资者的风险识别能力和风险承担能力进行评估;未对相关基金产品进行风险评级。新富资本的上述行为违反了《私募投资基金监督管理暂行办法》(简称《暂行办法》)第8条、第11条、第14条、第16条和第17条规定,依据《暂行办法》第38条规定,深圳证监局决定对新富资本及相关责任人进行相应处罚。(彭扬)
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