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证监会打击违法行为 五起要案罚没近52亿元

2017-05-11 18:35:01   中国经济网

4月份,针对炒作次新股和快进快出手法等恶性操纵市场行为,中国证监会部署了2017年专项执法行动第二批案件,并且第二批案件非常具有时效性。

据中国证监会新闻发言人介绍,今年以来,一些新上市股票连续上涨且短期涨幅较大,价量呈现明显异常,聚积了较大风险。市场监控发现,多组高度可疑的关联账户交替炒作、合力拉抬,已经涉嫌操纵市场。这16起案件的主要特点为,一是恶意利用“次新股”概念和股票盘面小、市盈率低的特点,通过多个账户集中快速拉抬股价,引诱市场跟风,引发个股价格暴涨暴跌。二是成批使用地域特征明显的账户,利用短期资金优势,通过盘中拉抬、封涨停、对倒等多种欺诈手法,在短时间内轮番炒作多只股票,“团伙化”特征明显。三是有的上市公司及其控股股东、实际控制人、高管人员等利益关联方非法操纵信息披露内容和节奏,与市场机构内外结合、明暗结合、虚实结合、真假结合,联手操纵公司股价,意图通过高位套现进行非法牟利。

据《证券日报》记者了解,目前相关调查工作已经全面展开,部分重点案件已经取得重要突破,有关案件进展,中国证监会将陆续公布情况。

推进执法体制改革创新

另外,继2016年第四季度开展了首次IPO企业现场检查工作之后,中国证监会决定2017年继续开展IPO企业现场检查工作,督促发行人提高信息披露质量,督促中介机构勤勉尽责,防止带病申报,严把资本市场入门关,对IPO中的违法违规行为发现一起查处一起,促进资本市场健康有序发展。同时中国证监会还组织开展了律师事务所从事IPO证券法律业务专项检查。

近期,中国证监会在行政执法体制改革创新方面又迈出重要一步,今年3月底,中国证监会决定在上海、深圳证券交易所设立巡回审理办公室,派驻执法人员对两交易所上市公司相关违法违规案件开展行政处罚审理工作。这将进一步提升监管执法效能。

业内人士认为,当前,中国证监会对资本市场各类违法行为坚持“零容忍”“全覆盖”的执法态度,对欺诈发行、内幕交易、市场操纵等严重扰乱市场秩序和危害中小投资者利益的行为保持执法高压态势,充分用足用好现有法律空间,让违法者受到应有的惩罚、付出应有的代价,为资本市场撑起一片蓝天。

2017年,中国证监会正按照专项执法行动与常规案件办理协调推进、大要案件与普通案件统筹兼顾的工作原则,严厉打击各类证券期货违法犯罪活动,全面提升证监稽查执法效能,切实防范化解市场风险,有效遏制关键领域违法苗头,更好地为市场改革发展保驾护航。中国证监会将秉持依法、全面、从严的监管原则,对证券期货违法违规行为保持高压态势,牢牢守住不发生系统性金融风险的底线。

(左永刚)

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