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冯小树遭罚没4.99亿元 牵出多名大佬

2017-04-25 04:01:04   

值得一提的是,深圳世方联入股价格等同于当时鱼跃医疗的每股净资产价值,估值显著低于市场合理水平,且与鱼跃医疗重要员工入股价格一致。此外,新华网2016年2月24日《平安证券前总裁薛荣年非法获利5亿 施压办案人员》一文指出,在东源电器内幕交易案里,朱勤年的3100万元资金正是来源于深圳世方联(公司已更名为融科华投资),深圳世方联资金来自于减持鱼跃医疗所得和分红款。  

平安证券保荐屡“踩雷”  

记者注意到,在证监会此次通报的冯小树交易的三家上市公司中,有两家的保荐券商系平安证券,即鱼跃医疗和宝莱特。值得一提的是,平安证券的投行业务曾曝出过不少丑闻,也曾数次被监管部门处罚。  

2010年12月,《每日经济新闻》刊发了题为《胜景山河IPO涉嫌“酿造”弥天大谎》的独家调查报道,随后证监会在当年12月16日夜间紧急叫停了胜景山河12月17日的上市。  

证监会方面认定,胜景山河保荐机构平安证券及其保荐代表人的尽职调查工作不完善、不彻底,对胜景山河的销售及客户情况、关联方等事项核查不充分,未对胜景山河前五大客户进行任何函证或访谈;也没有对会计师工作进行审慎复核。证监会对平安证券采取出具警示函的监管措施,对保荐代表人林辉、周凌云采取撤销保荐代表人资格的监管措施。  

而在万福生科一案里,平安证券则付出了高昂的代价:被责令改正违法行为,给予警告,没收业务收入2555万元,并处以5110万元罚款,暂停保荐业务许可3个月;相关保荐代表人处以30万元罚款,撤销保荐资格,终生市场禁入。证监会方面认为,平安证券未能勤勉尽责,其出具的发行保荐书、持续督导报告等存在虚假记载。  记者注意到,平安证券上述保荐项目均发生在薛荣年任职平安证券期间。  

值得注意的是,从证监会昨日公布的冯小树案件细节来看,这些案件不只是涉及到相关保荐券商及发审委人员,还牵涉到了多家上市公司。  

一位国内证券诉讼方面的律师表示:“冯小树不仅曾任发审委员,而且还是(当时)深交所负有监管之责的重要领导。用这种方式输送利益,完全是行贿受贿,相关上市公司也可能为此付出代价。此外,除了发审委委员外,还应该继续调查保荐机构的责任,如果确实有问题,都应该承担法律责任。”  

专注于证券索赔业务的财源在线CEO徐财源向《每日经济新闻》记者表示,“上市公司若被认定存在违规违法行为,并且证券监管部门对其进行了行政处罚,那么符合条件的投资者,都可以主张向上市公司索赔。徐财源等律师进一步表示:将就此联合广大中小股民采取对应的法律措施。

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