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证监会查处5宗案件 证券从业人员违法买股被罚

2017-12-16 11:20:50   中国经济网

■本报记者 左永刚

《证券日报》记者12月15日获悉,证监会近日依法对5宗案件作出行政处罚。

在1宗信息披露违法违规案中,中水集团远洋股份有限公司(简称中水渔业)2015年半年度报告披露的合并资产负债表其他应收款项目期末金额少计约8400多万元,存在虚假记载、重大遗漏。中水渔业的上述行为违反了《证券法》相关规定,北京证监局对其处以45万元罚款;对17名相关责任人员给予警告并分别处以3万元至15万元不等的罚款。

1宗超比例持股及未及时披露及限制期内交易股票案中,相关投资者在上述违法行为中涉及西藏发展。西藏证监局决定对该投资者超比例持股未及时披露信息及在限制期违法增持股票行为给予警告;对其超比例持股未及时披露信息行为处以30万元罚款,对其限制期内交易股票行为处以10万元罚款。

在2宗内幕交易案中,一是时任新峰管业副总经理施建洪在内幕信息敏感期内,控制使用其本人证券账户及“陈某娟”账户买入“龙泉股份”78100股,交易行为明显异常且与内幕信息的形成变化高度吻合,构成内幕交易,没有违法所得。施建洪的上述行为违反了《证券法》相关规定,山东证监局决定责令施建洪依法处理非法持有的证券,并处以3万元罚款。

二是莫家元系安徽合力股份有限公司(简称安徽合力)2016年利润分配方案这一内幕信息的知情人。在内幕信息敏感期内,莫家元控制使用其本人证券账户买入“安徽合力”19700股,没有违法所得。莫家元的上述行为违反了《证券法》相关规定,安徽证监局决定责令莫家元依法处理非法持有的证券,并处以3万元罚款。

在1宗证券从业人员违法买卖股票案中,钟湉于2014年3月份至调查期间任国信证券股份有限公司(简称国信证券)资产管理总部渠道经理,2015年3月26日取得一般证券业务执业证书。钟湉在国信证券任职期间,作为证券公司从业人员,借用“薛某琼”“王某磊”证券账户持有、买卖股票。钟湉的上述行为违反了《证券法》相关规定,北京证监局决定责令钟湉依法处理非法持有的股票,并处以3万元罚款。

证监会新闻发言人常德鹏表示,上述行为违反了证券期货法律法规,破坏了市场秩序,必须坚决予以打击。证监会将持续对各类违法违规行为保持高压态势,维护市场秩序,促进资本市场稳定健康发展。

(责任编辑:关婧)

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