证监会对5宗案件作出行政处罚
发布：时间：2018-05-08返回列表
近(jin)日，证监会依法(fa)对5宗(zong)(zong)案(an)(an)件作出行(xing)政处罚，其中包括：3宗(zong)(zong)信息披露违(wei)法(fa)违(wei)规(gui)案(an)(an)，1宗(zong)(zong)内幕交易案(an)(an)，1宗(zong)(zong)证券从(cong)业人员(yuan)违(wei)法(fa)买卖股票(piao)案(an)(an)。
3宗信(xin)(xin)息披(pi)露(lu)(lu)(lu)违(wei)法(fa)(fa)违(wei)规(gui)(gui)案中(zhong)，一是(shi)2015年(nian)(nian)9月(yue)(yue)12日(ri)(ri)至(zhi)(zhi)12月(yue)(yue)15日(ri)(ri)期间，时(shi)(shi)(shi)任申(shen)科(ke)滑(hua)动(dong)(dong)轴承f股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)(gong)(gong)司(si)（简称(cheng)申(shen)科(ke)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)）实(shi)际(ji)(ji)控(kong)(kong)(kong)制(zhi)人(ren)(ren)(ren)(ren)(ren)、董事长(zhang)何全波及时(shi)(shi)(shi)任实(shi)际(ji)(ji)控(kong)(kong)(kong)制(zhi)人(ren)(ren)(ren)(ren)(ren)、总经理(li)(li)何建(jian)东与严某国签署了(le)关于申(shen)科(ke)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)控(kong)(kong)(kong)股(gu)(gu)(gu)(gu)股(gu)(gu)(gu)(gu)东股(gu)(gu)(gu)(gu)权转(zhuan)让的(de)(de)(de)(de)系列协议(yi)，每(mei)份(fen)(fen)(fen)股(gu)(gu)(gu)(gu)权转(zhuan)让协议(yi)涉及转(zhuan)让股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)均(jun)(jun)超(chao)过5%，内容均(jun)(jun)涉及实(shi)际(ji)(ji)控(kong)(kong)(kong)制(zhi)人(ren)(ren)(ren)(ren)(ren)持有(you)公(gong)(gong)(gong)(gong)(gong)司(si)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)或(huo)控(kong)(kong)(kong)制(zhi)公(gong)(gong)(gong)(gong)(gong)司(si)情(qing)况(kuang)发生较大(da)变化，属(shu)于《证(zheng)(zheng)券(quan)(quan)(quan)法(fa)(fa)》第(di)(di)67条(tiao)(tiao)(tiao)所述(shu)应(ying)当(dang)及时(shi)(shi)(shi)履行(xing)(xing)信(xin)(xin)息披(pi)露(lu)(lu)(lu)义务的(de)(de)(de)(de)重(zhong)大(da)事件。除12月(yue)(yue)15日(ri)(ri)签订(ding)的(de)(de)(de)(de)《股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)转(zhuan)让协议(yi)》外，申(shen)科(ke)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)均(jun)(jun)未(wei)(wei)(wei)按(an)规(gui)(gui)定(ding)(ding)予(yu)(yu)(yu)(yu)以(yi)披(pi)露(lu)(lu)(lu)。依(yi)据《证(zheng)(zheng)券(quan)(quan)(quan)法(fa)(fa)》第(di)(di)193条(tiao)(tiao)(tiao)规(gui)(gui)定(ding)(ding)，浙江证(zheng)(zheng)监局(ju)决定(ding)(ding)对申(shen)科(ke)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)责(ze)令(ling)(ling)改(gai)正，给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)处(chu)以(yi)50万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款；对何全波、何建(jian)东给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)分别处(chu)以(yi)90万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款（其(qi)中(zhong)作(zuo)为(wei)(wei)(wei)直(zhi)接负(fu)责(ze)的(de)(de)(de)(de)主管(guan)人(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)罚(fa)(fa)(fa)款30万(wan)元(yuan)(yuan)(yuan)，作(zuo)为(wei)(wei)(wei)实(shi)际(ji)(ji)控(kong)(kong)(kong)制(zhi)人(ren)(ren)(ren)(ren)(ren)罚(fa)(fa)(fa)款60万(wan)元(yuan)(yuan)(yuan)）；对申(shen)科(ke)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)董事会秘(mi)书(shu)陈兰燕给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)处(chu)以(yi)10万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款。二是(shi)嵊州(zhou)市(shi)(shi)永(yong)宇(yu)(yu)(yu)冲片(pian)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)(gong)(gong)司(si)（简称(cheng)永(yong)宇(yu)(yu)(yu)冲片(pian)）对2014年(nian)(nian)以(yi)来(lai)存在的(de)(de)(de)(de)11起对外担保事项未(wei)(wei)(wei)按(an)规(gui)(gui)定(ding)(ding)披(pi)露(lu)(lu)(lu)；对2016年(nian)(nian)以(yi)来(lai)存在的(de)(de)(de)(de)10起重(zhong)大(da)诉讼事项未(wei)(wei)(wei)按(an)规(gui)(gui)定(ding)(ding)及时(shi)(shi)(shi)披(pi)露(lu)(lu)(lu)；2016年(nian)(nian)10月(yue)(yue)24日(ri)(ri)，永(yong)宇(yu)(yu)(yu)冲片(pian)的(de)(de)(de)(de)债权人(ren)(ren)(ren)(ren)(ren)嵊州(zhou)市(shi)(shi)峰(feng)帆贸易(yi)(yi)有(you)限(xian)(xian)公(gong)(gong)(gong)(gong)(gong)司(si)向绍(shao)(shao)兴(xing)市(shi)(shi)中(zhong)级人(ren)(ren)(ren)(ren)(ren)民法(fa)(fa)院申(shen)请对永(yong)宇(yu)(yu)(yu)冲片(pian)进(jin)行(xing)(xing)破(po)产重(zhong)整，2016年(nian)(nian)10月(yue)(yue)28日(ri)(ri)，永(yong)宇(yu)(yu)(yu)冲片(pian)收(shou)到绍(shao)(shao)兴(xing)市(shi)(shi)中(zhong)级人(ren)(ren)(ren)(ren)(ren)民法(fa)(fa)院通(tong)知书(shu)后未(wei)(wei)(wei)按(an)规(gui)(gui)定(ding)(ding)及时(shi)(shi)(shi)披(pi)露(lu)(lu)(lu)该(gai)事项。永(yong)宇(yu)(yu)(yu)冲片(pian)上(shang)(shang)述(shu)行(xing)(xing)为(wei)(wei)(wei)违(wei)反了(le)《非上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)众(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)监督(du)管(guan)理(li)(li)办法(fa)(fa)》第(di)(di)20条(tiao)(tiao)(tiao)、第(di)(di)25条(tiao)(tiao)(tiao)规(gui)(gui)定(ding)(ding)，构成(cheng)《非上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)众(zhong)公(gong)(gong)(gong)(gong)(gong)司(si)监督(du)管(guan)理(li)(li)办法(fa)(fa)》第(di)(di)60条(tiao)(tiao)(tiao)所述(shu)情(qing)形(xing)，依(yi)据《证(zheng)(zheng)券(quan)(quan)(quan)法(fa)(fa)》第(di)(di)193条(tiao)(tiao)(tiao)规(gui)(gui)定(ding)(ding)，浙江证(zheng)(zheng)监局(ju)决定(ding)(ding)对永(yong)宇(yu)(yu)(yu)冲片(pian)责(ze)令(ling)(ling)改(gai)正，给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)处(chu)以(yi)30万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款；对直(zhi)接负(fu)责(ze)的(de)(de)(de)(de)主管(guan)人(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)魏(wei)永(yong)良给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)处(chu)以(yi)20万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款；对其(qi)他(ta)直(zhi)接责(ze)任人(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)邢利、钱纪香给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)分别处(chu)以(yi)10万(wan)元(yuan)(yuan)(yuan)和3万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款。三是(shi)王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)时(shi)(shi)(shi)为(wei)(wei)(wei)义乌华鼎(ding)锦纶(lun)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)有(you)限(xian)(xian)公(gong)(gong)(gong)(gong)(gong)司(si)（简称(cheng)华鼎(ding)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)）持股(gu)(gu)(gu)(gu)5％以(yi)上(shang)(shang)的(de)(de)(de)(de)股(gu)(gu)(gu)(gu)东。2014年(nian)(nian)12月(yue)(yue)18日(ri)(ri)至(zhi)(zhi)12月(yue)(yue)29日(ri)(ri)，王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)通(tong)过本人(ren)(ren)(ren)(ren)(ren)证(zheng)(zheng)券(quan)(quan)(quan)账(zhang)(zhang)(zhang)户以(yi)大(da)宗交(jiao)易(yi)(yi)方(fang)式累计减持6,000万(wan)股(gu)(gu)(gu)(gu)“华鼎(ding)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)”，并(bing)通(tong)过其(qi)控(kong)(kong)(kong)制(zhi)使用(yong)(yong)的(de)(de)(de)(de)他(ta)人(ren)(ren)(ren)(ren)(ren)证(zheng)(zheng)券(quan)(quan)(quan)账(zhang)(zhang)(zhang)户接盘买回。2016年(nian)(nian)11月(yue)(yue)7日(ri)(ri)至(zhi)(zhi)12月(yue)(yue)14日(ri)(ri)，王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)又通(tong)过本人(ren)(ren)(ren)(ren)(ren)账(zhang)(zhang)(zhang)户以(yi)大(da)宗交(jiao)易(yi)(yi)方(fang)式累计减持3,800万(wan)股(gu)(gu)(gu)(gu)“华鼎(ding)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)”，并(bing)通(tong)过其(qi)控(kong)(kong)(kong)制(zhi)使用(yong)(yong)的(de)(de)(de)(de)他(ta)人(ren)(ren)(ren)(ren)(ren)证(zheng)(zheng)券(quan)(quan)(quan)账(zhang)(zhang)(zhang)户接盘买回。王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)的(de)(de)(de)(de)上(shang)(shang)述(shu)减持行(xing)(xing)为(wei)(wei)(wei)不(bu)构成(cheng)真实(shi)减持，王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)向华鼎(ding)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)报(bao)送权益变动(dong)(dong)报(bao)告(gao)(gao)书(shu)的(de)(de)(de)(de)有(you)关减持情(qing)况(kuang)与事实(shi)不(bu)符，导致华鼎(ding)股(gu)(gu)(gu)(gu)份(fen)(fen)(fen)后续披(pi)露(lu)(lu)(lu)的(de)(de)(de)(de)相关信(xin)(xin)息存在虚假记(ji)载。王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)的(de)(de)(de)(de)上(shang)(shang)述(shu)行(xing)(xing)为(wei)(wei)(wei)违(wei)反了(le)《上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)信(xin)(xin)息披(pi)露(lu)(lu)(lu)管(guan)理(li)(li)办法(fa)(fa)》第(di)(di)46条(tiao)(tiao)(tiao)规(gui)(gui)定(ding)(ding)，构成(cheng)《上(shang)(shang)市(shi)(shi)公(gong)(gong)(gong)(gong)(gong)司(si)信(xin)(xin)息披(pi)露(lu)(lu)(lu)管(guan)理(li)(li)办法(fa)(fa)》第(di)(di)61条(tiao)(tiao)(tiao)、《证(zheng)(zheng)券(quan)(quan)(quan)法(fa)(fa)》第(di)(di)193条(tiao)(tiao)(tiao)所述(shu)违(wei)法(fa)(fa)行(xing)(xing)为(wei)(wei)(wei)。依(yi)据《证(zheng)(zheng)券(quan)(quan)(quan)法(fa)(fa)》第(di)(di)193条(tiao)(tiao)(tiao)规(gui)(gui)定(ding)(ding)，厦门证(zheng)(zheng)监局(ju)决定(ding)(ding)责(ze)令(ling)(ling)王(wang)(wang)俊(jun)元(yuan)(yuan)(yuan)改(gai)正，给(ji)予(yu)(yu)(yu)(yu)警(jing)告(gao)(gao)，并(bing)处(chu)以(yi)60万(wan)元(yuan)(yuan)(yuan)罚(fa)(fa)(fa)款。
1宗内(nei)幕(mu)交(jiao)易案中，郑(zheng)(zheng)一帆(fan)、樊云系天(tian)津百(bai)利(li)特(te)精电气(qi)(qi)股份(fen)有限(xian)公(gong)(gong)司（下称百(bai)利(li)电气(qi)(qi)）收购苏州贯龙(long)电磁线有限(xian)责任公(gong)(gong)司股权相关(guan)内(nei)幕(mu)信(xin)息(xi)的知情人(ren)。在内(nei)幕(mu)信(xin)息(xi)敏感期(qi)内(nei)，郑(zheng)(zheng)一帆(fan)控制使(shi)(shi)用其本人(ren)证(zheng)券(quan)(quan)账户(hu)买入(ru)“百(bai)利(li)电气(qi)(qi)”30,000股，没(mei)有违法(fa)所得；樊云控制使(shi)(shi)用“吴某”证(zheng)券(quan)(quan)账户(hu)买入(ru)“百(bai)利(li)电气(qi)(qi)”115,400股，获(huo)利(li)约3.8万元(yuan)(yuan)。郑(zheng)(zheng)一帆(fan)、樊云的上述行为违反了《证(zheng)券(quan)(quan)法(fa)》第73条(tiao)、第76条(tiao)规定(ding)，依(yi)据《证(zheng)券(quan)(quan)法(fa)》第202条(tiao)规定(ding)，吉林(lin)证(zheng)监局决(jue)定(ding)对(dui)郑(zheng)(zheng)一帆(fan)处(chu)以5万元(yuan)(yuan)罚款；没(mei)收樊云违法(fa)所得约3.8万元(yuan)(yuan)，并处(chu)以约11.3万元(yuan)(yuan)罚款。
1宗证券(quan)从业(ye)人(ren)员违法(fa)买(mai)卖股(gu)票案中，张(zhang)锋(feng)于(yu)1993年(nian)(nian)12月(yue)至(zhi)2017年(nian)(nian)1月(yue)在国联证券(quan)股(gu)份有(you)限公司（简称(cheng)国联证券(quan)）任职，徐(xu)(xu)斌武(wu)于(yu)2008年(nian)(nian)11月(yue)至(zhi)2017年(nian)(nian)1月(yue)在国联证券(quan)任职，两人(ren)均(jun)为(wei)证券(quan)从业(ye)人(ren)员。2009年(nian)(nian)4月(yue)24日(ri)(ri)至(zhi)2016年(nian)(nian)5月(yue)18日(ri)(ri)期间，张(zhang)锋(feng)控(kong)制(zhi)使用其(qi)配(pei)偶(ou)林某证券(quan)账(zhang)户交易(yi)股(gu)票，获利约(yue)9.4万(wan)元(yuan)；2016年(nian)(nian)1月(yue)8日(ri)(ri)至(zhi)2016年(nian)(nian)8月(yue)25日(ri)(ri)期间，徐(xu)(xu)斌武(wu)控(kong)制(zhi)使用其(qi)配(pei)偶(ou)王某及他(ta)人(ren)证券(quan)账(zhang)户交易(yi)买(mai)票，共计(ji)获利约(yue)189.2万(wan)元(yuan)。张(zhang)锋(feng)、徐(xu)(xu)斌武(wu)的(de)上述行为(wei)违反了《证券(quan)法(fa)》第43条规(gui)定(ding)，依据《证券(quan)法(fa)》199条规(gui)定(ding)，江苏证监局决定(ding)没(mei)收张(zhang)锋(feng)违法(fa)所得(de)约(yue)9.4万(wan)元(yuan)，并处(chu)以约(yue)9.4万(wan)元(yuan)罚款；没(mei)收徐(xu)(xu)斌武(wu)违法(fa)所得(de)约(yue)189.2万(wan)元(yuan)，并处(chu)以约(yue)189.2万(wan)元(yuan)罚款。
上述行为违反了(le)证(zheng)券期货法律法规，破(po)坏了(le)市场(chang)秩序，必须坚决(jue)予以(yi)打击。证(zheng)监会将持续保(bao)持执(zhi)法高压态势，扎实(shi)推动资本市场(chang)持续稳(wen)定健(jian)康发展(zhan)，更好地(di)服务于实(shi)体经济和(he)现代化(hua)经济体系建设。