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证监会:打好内幕交易查处“组合拳”

2017-09-30 07:17:52   

■本报记者 左永刚

9月29日,《证券日报》记者从证监会获悉,目前A股市场中多层、多级、多向传递型内幕交易日渐增多,内幕信息在亲属圈、朋友圈、同事圈等多种熟人圈多链条“爆炸式”传递,形成一批“窝案”“串案”,涉案人员数量及金额也随之攀升。证监会将进一步加大内幕交易查处力度,打好专项执法行动与常规案件查办的“组合拳”,尤其针对传递型内幕交易隐蔽复杂的特点,将强化与刑事司法机关的有效衔接和紧密配合,推动与纪检监察、国资监管等部门的综合防控体系建设。

当日,证监会新闻发言人高莉指出,内幕交易严重侵蚀资本市场公开、公平、公正的原则,严重侵害广大中小投资者的利益。以泄露、打探内幕信息为主要特征的传递型内幕交易,进一步延伸了内幕交易非法牟利链条,掩饰了靠内幕信息炒股的违法本质,助长了打探消息、投机炒作的不良风气,严重影响市场秩序和市场参与者的投资信心,严重损害资本市场功能作用发挥,历来是各国证券市场监管执法的打击重点。

据初步统计,2016年以来正式立案调查的内幕交易涉案主体中,法定内幕信息知情人直接从事内幕交易的占比约为30%,通过亲友、同学、业务伙伴等关系获取内幕信息从事内幕交易的占比近70%。

高莉表示,较之内幕信息知情人直接从事内幕交易行为,传递型内幕交易更为隐蔽复杂,信息扩散范围广、速度快,影响和危害更为严重。从传递对象上看,内幕信息传递“群体化”“裙带化”特征明显,从法定内幕信息知情人的直系血亲向其他近亲属、朋友、同学、同事等蔓延,还出现了知情人向商业合作伙伴、子女就读学校校长、开办企业所在地党政干部等利益相关方泄露内幕信息供其牟利的案例。

高莉指出,一些市场机构和个人也抱着“一夜暴富”的侥幸心理,蓄意打探内幕信息并非法牟利,涉案主体类型更为多样。从内幕信息类型上看,从前几年的“重灾区”上市公司并购重组领域,扩展到“高送转”“股权结构变化”“重大投资决策”“重要合同签订”“重大损益发生”等多个领域、多个环节。

据高莉介绍,从传递范围上看,伴随传播渠道多元化尤其是网络社交工具的普及,多层、多级、多向传递型内幕交易日渐增多,内幕信息在亲属圈、朋友圈、同事圈等多种熟人圈多链条“爆炸式”传递,形成一批“窝案”“串案”,涉案人员数量及金额也随之攀升。

高莉表示,针对内幕交易出现的上述特点、趋势,证监会强化“大数据”筛查异常交易线索,本着“零容忍”“全覆盖”“无死角”的原则,发现一起,坚决查处一起,并于今年7月份集中部署专项执法行动第三批案件集中查处内幕交易行为,尤其重点打击传递型内幕交易,坚决遏制泄露“内幕”、打探“消息”、非法“交易”的恶习,有效引导懂法合规、价值判断、理性投资的理念和氛围。

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