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证监会第三批专项行动瞄准内幕交易

2017-09-04 08:41:09   中国经济网

中国证监会新闻发言人高莉9月1日表示,日前,证监会启动调查2017年专项执法行动第三批共18起案件,专门打击证券市场内幕交易行为。

记者了解到,上半年,证监会严厉打击证券期货违法违规,集中部署了三批43起专项执法行动案件。《国际金融报》记者通过梳理这三批案件发现,三批专项行动分别涉及了信息披露、操纵市场和内幕交易等不同主题,对市场形成有力震慑,及时遏制了违法行为的蔓延。

业内人士点评称:“紧锣密鼓的专项行动体现出监管对违法违规现象不留死角的高压态势。”

主题一:信披违法

证监会数据显示,2017年上半年新增信披违法案件40起,一些上市公司为掩盖违法动机持续多年造假,例如为谋取行政许可或避免业绩承诺无法兑现持续多年虚增利润。个别上市公司通过设置境外子公司,或依靠海外客户通过体外资金循环的方式跨境实施财务造假,如雅百特案。

上半年,证监会还受理上市公司及新三板挂牌公司信息披露违规线索37件,同比增长61%。

主题二:操纵市场

今年以来,证监会频频开出巨额罚单,处罚市场操纵行为。因操纵“铁岭新城”、“中兴商业”股票,朱康军罚没5.36亿元。鲜言因操纵“多伦股份”收到总计超过34亿元的巨额罚单,在A股历史上很是罕见。

此外,市场监控发现,一些新上市股票连续上涨且短期涨幅较大多组高度可疑的关联账户交替炒作、合力拉抬,已经涉嫌操纵市场。这些涨幅惊人的公司当中不乏有被恶意操纵的案例,同时也被纳入第二批专项执法行动当中。

主题三:内幕交易

根据2017年专项执法行动第三批案件的情况显示,并购重组领域、“高送转”环节、“股权结构变化”环节成为内幕交易高风险领域和环节。

证监会表示,从案件调查情况看,亲友之间传递内幕信息比较普遍。内幕信息法定知情人直接交易减少,向亲友泄露内幕信息、建议他人买卖的情况逐渐增多,近四成案件涉及内幕信息多级多向传递。

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