证监会通报2017年证券期货市场诚信情况
发布：时间：2018-06-26返回列表
为深入学习贯(guan)彻党(dang)的十九(jiu)大精(jing)神(shen)，全(quan)(quan)面贯(guan)彻落实(shi)中央经济工作(zuo)会(hui)议和全(quan)(quan)国(guo)金融工作(zuo)会(hui)议工作(zuo)部署,落实(shi)国(guo)务院(yuan)《社会(hui)信用体系建(jian)设规划纲要（2014－2020年(nian)）》的工作(zuo)安排，加(jia)强诚信监管(guan)，提升(sheng)资本(ben)市(shi)(shi)场(chang)诚信水平(ping)，近日，证监会(hui)资本(ben)市(shi)(shi)场(chang)诚信建(jian)设办公室根据资本(ben)市(shi)(shi)场(chang)诚信数据库(ku)的数据信息，对2017年(nian)资本(ben)市(shi)(shi)场(chang)诚信状况进(jin)行了统计、分析(xi)。
根据诚信(xin)(xin)数据库记录(lu)的违(wei)法(fa)失信(xin)(xin)信(xin)(xin)息，证(zheng)监会对2017年(nian)(nian)度证(zheng)券(quan)(quan)(quan)期货市场各类活跃主(zhu)体(ti)的诚信(xin)(xin)状(zhuang)况(kuang)(kuang)进(jin)行(xing)了(le)分析梳理(li)。从违(wei)法(fa)失信(xin)(xin)主(zhu)体(ti)情况(kuang)(kuang)看(kan)，2017年(nian)(nian)度存在违(wei)法(fa)失信(xin)(xin)记录(lu)的机构(gou)共1072家(jia)(jia)(jia)(jia)。其中，上市公(gong)司(si)(si)相(xiang)(xiang)关(guan)(guan)责任(ren)主(zhu)体(ti)355家(jia)(jia)(jia)(jia)、非上市公(gong)众(zhong)公(gong)司(si)(si)相(xiang)(xiang)关(guan)(guan)责任(ren)主(zhu)体(ti)117家(jia)(jia)(jia)(jia)、公(gong)司(si)(si)债券(quan)(quan)(quan)发行(xing)人57家(jia)(jia)(jia)(jia)、证(zheng)券(quan)(quan)(quan)公(gong)司(si)(si)75家(jia)(jia)(jia)(jia)、基金(jin)管理(li)公(gong)司(si)(si)27家(jia)(jia)(jia)(jia)、期货公(gong)司(si)(si)52家(jia)(jia)(jia)(jia)、证(zheng)券(quan)(quan)(quan)投资咨询机构(gou)46家(jia)(jia)(jia)(jia)、基金(jin)销售机构(gou)37家(jia)(jia)(jia)(jia)、资信(xin)(xin)评级机构(gou)2家(jia)(jia)(jia)(jia)，会计师事务(wu)所22家(jia)(jia)(jia)(jia)、资产评估机构(gou)16家(jia)(jia)(jia)(jia)、律(lv)师事务(wu)所14家(jia)(jia)(jia)(jia)、私(si)募基金(jin)管理(li)人174家(jia)(jia)(jia)(jia)、机构(gou)投资者61家(jia)(jia)(jia)(jia)、其他违(wei)法(fa)失信(xin)(xin)机构(gou)17家(jia)(jia)(jia)(jia)。其中，以上市公(gong)司(si)(si)相(xiang)(xiang)关(guan)(guan)主(zhu)体(ti)、私(si)募基金(jin)管理(li)人相(xiang)(xiang)关(guan)(guan)主(zhu)体(ti)和非上市公(gong)众(zhong)公(gong)司(si)(si)相(xiang)(xiang)关(guan)(guan)主(zhu)体(ti)为主(zhu)，约占(zhan)全部违(wei)法(fa)违(wei)规(gui)主(zhu)体(ti)的60.2%。
2017年度存在违(wei)法失信记录的个(ge)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)共1716人(ren)(ren)(ren)(ren)(ren)(ren)(ren)。其中，上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)相关(guan)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)927人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、非上市(shi)(shi)(shi)公(gong)(gong)众(zhong)公(gong)(gong)司(si)(si)相关(guan)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)77人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、公(gong)(gong)司(si)(si)债券(quan)发(fa)行人(ren)(ren)(ren)(ren)(ren)(ren)(ren)相关(guan)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)24人(ren)(ren)(ren)(ren)(ren)(ren)(ren)，证(zheng)券(quan)公(gong)(gong)司(si)(si)从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)109人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、基(ji)(ji)金管(guan)理公(gong)(gong)司(si)(si)从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)60人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、期货公(gong)(gong)司(si)(si)从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)54人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、证(zheng)券(quan)投(tou)资(zi)咨询机构从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)1人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、会计师事(shi)务所从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)106人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、资(zi)产评估机构从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)37人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、律师事(shi)务所从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)18人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、私(si)募基(ji)(ji)金管(guan)理人(ren)(ren)(ren)(ren)(ren)(ren)(ren)从(cong)(cong)业(ye)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)29人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、个(ge)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)投(tou)资(zi)者245人(ren)(ren)(ren)(ren)(ren)(ren)(ren)、其他(ta)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)29人(ren)(ren)(ren)(ren)(ren)(ren)(ren)。其中，以上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)相关(guan)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)员(yuan)(yuan)（包括上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)董(dong)监(jian)高，上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)控(kong)股(gu)(gu)股(gu)(gu)东、实际(ji)控(kong)制(zhi)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)，上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)持(chi)股(gu)(gu)5%以上个(ge)人(ren)(ren)(ren)(ren)(ren)(ren)(ren)投(tou)资(zi)者，上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)并购重组交易对方董(dong)监(jian)高，拟上市(shi)(shi)(shi)公(gong)(gong)司(si)(si)董(dong)监(jian)高）为主，占比(bi)54.0%。
从违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为情况看，市(shi)(shi)场(chang)违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为中(zhong)信(xin)(xin)(xin)(xin)息披(pi)(pi)露违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为仍然高居(ju)首位(wei)，占(zhan)比47.4%，内(nei)控管理违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为占(zhan)比21.5%，业务经营违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为占(zhan)比17.2%，市(shi)(shi)场(chang)交易违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为占(zhan)比13.6%。上(shang)(shang)市(shi)(shi)公司(si)责任主体(ti)的违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为主要是(shi)(shi)信(xin)(xin)(xin)(xin)息披(pi)(pi)露违(wei)法(fa)(fa)(fa)(fa)，这(zhei)一定(ding)程度(du)上(shang)(shang)说(shuo)明(ming)信(xin)(xin)(xin)(xin)息披(pi)(pi)露违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)行(xing)为既是(shi)(shi)上(shang)(shang)市(shi)(shi)公司(si)监管的核(he)心，也是(shi)(shi)市(shi)(shi)场(chang)违(wei)法(fa)(fa)(fa)(fa)失(shi)(shi)信(xin)(xin)(xin)(xin)的“高危区”。
今(jin)后，证监会(hui)将继(ji)续(xu)高(gao)度重视并(bing)持续(xu)加(jia)强诚信(xin)建(jian)设，促进(jin)资本市场长期稳(wen)定健康发展。