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今年已有8个证券账户被上交所限制交易

2017-09-05 07:06:42   中国经济网

■本报记者 朱宝琛

“进一步完善监管职能是大势所趋,随着市场规模扩大,过去的监管明显不适宜新的环境,存在很多漏洞或不完善,比如违法成本过低,队伍建设落后于资本市场发展速度,人才匮乏,新的制度为未来透明、公正、公平奠定基础。”联储证券首席投资顾问胡晓辉9月4日告诉《证券日报》记者。

日前,中国证监会就修订《证券交易所管理办法》(征求意见稿)向社会公开征求意见。《管理办法》提出,进一步完善证券交易所在履行一线监管职责、防范市场风险中的手段措施,包括实时监控、限制交易、现场检查、收取惩罚性违约金。

事实上,在中国证监会深入推进依法、从严、全面监管的背景下,沪深交易所的一线监管职责得到了重点强化。以对异常交易的监管为例,2016年沪深交易所共发出书面和口头警示7000余次,今年以来,已经发出4000多次。

至于这些异常交易的情形,包括盘中拉升打压股价、涨跌停板虚假申报、集合竞价虚假申报、对倒、超限买入风险警示股票等。

在限制交易方面,交易所同样对相关的市场主体采取了一系列举措。以上交所为例,今年以来,已经发出8份对相关证券账户实施限制交易纪律处分的决定,涉及的对象既有个人投资者,也有机构投资者。

《证券日报》记者注意到,上交所最近发出的一份纪律处分的时间是8月14日。经查明,2017年3月9日至2017年7月13日,投资者赖国昌名下证券账户在交易*ST八钢、新疆城建、庞大集团、石化油服、北方稀土等股票过程中,多次出现买入风险警示股票超限,以涨幅限制价格频繁、大量申报又频繁撤销申报等异常交易行为,严重扰乱了证券市场的正常交易秩序。

上交所决定,对赖国昌名下的相关证券账户实施限制交易3个月的纪律处分,即自2017年8月15日至2017年11月14日不得买入和卖出在上交所挂牌交易的所有证券。同时,还将上述纪律处分通报中国证监会,并记入证券期货市场诚信档案数据库。

值得关注的是,在今年被限制交易的账户中,还有一家基金公司旗下4个专户产品的证券账户。经查明,上述4个证券账户在短时间内以远低于市场成交价的价格大量卖出两只股票,同期市场占比较高,对这两只股价短期走势产生了较大影响,致使股价短期快速下跌,引起市场和媒体的高度关注,影响了市场的正常交易秩序。上交所决定对上述4个证券账户实施限制交易1个月的纪律处分。

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