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违法交易必被抓 理财还得走“正道”
2017-09-26 07:22:54 中国经济网
证券从业者比普通投资者具有更高的专业判断能力,也更容易获得影响股票价格的重要信息,为保证证券市场的公平原则,《证券法》明令禁止证券从业人员持有、买卖股票。若从业人员存在侥幸心理,一旦伸手,必然受到法律的严惩。作为投资者要认清从业人员从事交易的违法性,免受不必要的损失。
青海证监局以案例的形式,提醒投资者注意以下几个问题:第一,警惕虚假或误导性信息。股市有风险,应理性对待“某股涨势好,肯定会涨到多少元”“股市会涨到某一点位”等言论,不要盲从。因为《证券法》明确规定投资咨询机构及其从业人员不得利用传播媒介或者通过其他方式提供、传播虚假或者误导投资者的信息,例如黄某作为证券投资咨询执业人员,在电视股评节目中使用“飙升在即”“无需买来买去,持有就能翻倍”等相对个股的评价、预测、推荐,被证监会撤销从业资格,并处以3万元罚款。
第二,充分认识“代客理财”的违法性。要走出“从业人员肯定比自己会炒股”的认识误区,避免委托从业人员代为交易股票,原因有二:一是影响股价涨跌因素有很多,从业人员买卖股票同样会亏损,例如张某在某证券公司任职期间,通过本人在第三方证券公司开立的证券账户买入单只股票,买入金额1152万余元,卖出金额1027万余元,亏损124余万元,虽然张某未盈利,但仍然违反了《证券法》第四十三条的规定,被某证监局处以3万元罚款。二是即使从业人员买卖股票盈利,也会面临被没收违法所得的处罚,例如,广某作为证券从业人员,接受冯某委托使用他人账户进行证券交易,违法所得145.25万元,证监会依据《证券法》第二百一十五条的规定,没收上述违法所得,并对其处以435.75万元的罚款。
第三,作为从业人员亲属,应督促其合法执业。作为从业人员的亲属,应督促其合法执业,而不是怂恿其炒股或代为炒股,将亲人推向违法的深渊,断送其职业生涯。如赵某作为某证券营业部员工,向其表姐“袁某”账户出资,并使用该账户累计买入股票633万余元,累计卖出648万余元,盈利8万余元。因赵某违反《证券法》第四十三条的规定,除被证监会没收违法所得、处以罚款以外,还被采取了3年证券市场禁入措施。
青海证监局提醒,投资者一方面要理性对待某些专家的预测、推荐,谨慎投资,避免跟风炒作;另一方面,通过合法合规方式进行投资,才是维护好自身合法权益的前提。
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