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证监会建立“集团化”稽查模式 集中部署三批执法行动

2017-09-23 06:57:07   中国经济网

今年以来共集中部署了三批43起专项执法行动案件,其中:部署上市公司信息披露违法违规专项执法行动,及时防止带病融资等“并发症”的出现,最大限度降低了相关违法行为对市场和投资者的冲击影响,有效防范化解风险;针对炒作“次新股”、集团化规模化轮番操纵多只股票以及上市公司实际控制人信息操纵等重大违法行为,集中部署打击操纵市场专项行动,有效遏制了相关违法行为的蔓延态势;重点关注涉及领域广泛、违法主体多样、交易和获利金额巨大,尤其是涉及公职人员的内幕交易案件,发起集群战役,打出规模和声势,始终保持高压态势。

今年稽查执法还注重强化协同作战,全面构建多部门高效互动的“大执法”格局,在跨部门、跨部委等执法协作领域取得多项创新机制。如行政刑事联动取得新成效。根据“信息共享、提前介入、优势互补、形成合力”的原则,创新探索“情报导侦”,对线索条件较好的案件建立行政调查与刑事侦查“同步推进、分工协作”的联动反应机制,与公安机关提前会商,刑事调查提前介入,使行政、刑事调查优势互补,实现双赢。今年以来,稽查系统分别向公安部深圳、重庆、辽宁、青岛办案基地移交了一批案件线索,案件查办效果显著。在跨部委执法协作方面也取得新突破,证监会与银监会就建立电子化资金查询机制取得重大突破,为解决证监会长期以来调取资金信息瓶颈问题迈出了“里程碑”意义的一步。并且证监会积极与国资委、审计署建立日常沟通机制,及时通报国有企业董监高等相关人员涉案情况,联合遏制国有上市公司董监高等相关人员内幕交易行为。

另外,在跨境执法合作层面,证监会进一步完善与香港跨境执法协作制度性安排,利用“2+X”会晤机制加强与香港证监会的沟通,落实案件分级办理机制,优化协助询问流程,提高涉港案件协查效率。在香港证监会协助下,证监会稽查系统严厉查处了唐汉博这一沪港通开通以来首例跨境操纵市场案件,罚没款逾12亿元;在巴基斯坦、香港、美国等监管机构协助下,成功突破“雅百特”跨境造假案,在境内外产生了良好反响。

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