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银行间最大债市腐败案路径曝光

来源: 南方日报网络版     时间: 2018年10月19日 12:41:00
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(  法)(网)(恢)(恢)(,疏)(而)(不)(漏)(。继)(券)(商)(、基)(金)(之)(后)(,信)(托)(公)(司)(终)(于)(在)(“债)(市)(核)(查)(风)(暴)(”中)(落)(网)(。
  日)(前)(,就)(全)(国)(最)(大)(银)(行)(间)(债)(市)(腐)(败)(案)(,北)(京)(市)(第)(二)(中)(级)(人)(民)(法)(院)(作)(出)(终)(审)(判)(决)(,犯)(罪)(嫌)(疑)(人)(张)(某)(被)(判)(有)(期)(徒)(刑)(13年)(。
  据)(悉)(,在)(某)(国)(际)(信)(托)(公)(司)(担)(任)(债)(券)(交)(易)(员)(期)(间)(,张)(某)(向)(自)(己)(实)(际)(控)(制)(的)(信)(息)(咨)(询)(公)(司)(输)(送)(利)(益)(2.07亿)(余)(元)(。这)(一)(犯)(罪)(数)(额)(也)(被)(法)(院)(全)(部)(予)(以)(认)(定)(。而)(在)(2013年)(轰)(动)(一)(时)(的)(“大)(型)(债)(市)(利)(益)(输)(送)(案)(”中)(,国)(信)(证)(券)(原)(固)(定)(收)(益)(部)(总)(裁)(孙)(明)(霞)(、宏)(源)(证)(券)(原)(债)(券)(销)(售)(交)(易)(部)(总)(经)(理)(陈)(智)(军)(等)(8人)(的)(总)(涉)(案)(金)(额)(也)(只)(有)(约)(1亿)(元)(人)(民)(币)(。
  更)(为)(触)(目)(惊)(心)(的)(是)(,上)(述)(信)(托)(公)(司)(并)(非)(个)(案)(。另)(据)(《中)(国)(经)(营)(报)(》记)(者)(了)(解)(,另)(一)(家)(信)(托)(公)(司)(的)(相)(关)(案)(件)(也)(在)(检)(察)(院)(查)(处)(之)(中)(,不)(日)(将)(提)(起)(诉)(讼)(。
  私)(立)(丙)(类)(户)(,违)(规)(代)(持)(养)(券)(
  记)(者)(查)(阅)(卷)(得)(知)(,张)(某)(主)(要)(依)(靠)(丙)(类)(户)(,通)(过)(信)(托)(公)(司)(交)(易)(平)(台)(进)(行)(了)(一)(系)(列)(违)(规)(交)(易)(,先)(后)(通)(过)(162笔)(现)(券)(买)(卖)(,涉)(及)(48只)(债)(券)(、42家)(债)(券)(交)(易)(机)(构)(、近)(900次)(债)(券)(买)(卖)(。
  西)(城)(区)(检)(察)(院)(办)(案)(检)(察)(官)(佟)(晓)(琳)(告)(诉)(记)(者)(,张)(某)(根)(据)(自)(己)(近)(十)(年)(的)(银)(行)(间)(债)(券)(市)(场)(交)(易)(经)(验)(,在)(入)(职)(上)(述)(信)(托)(公)(司)(一)(个)(月)(后)(,就)(开)(始)(将)(本)(属)(于)(国)(际)(信)(托)(公)(司)(的)(利)(润)(输)(送)(到)(自)(己)(控)(制)(的)(丙)(类)(户)(。而)(张)(在)(2008年)(底)(成)(立)(的)(商)(务)(咨)(询)(公)(司)(就)(是)(其)(进)(行)(交)(易)(的)(一)(方)(。
  卷)(宗)(显)(示)(,2009年)(3月)(,张)(某)(应)(聘)(到)(某)(国)(际)(信)(托)(公)(司)(固)(定)(收)(益)(部)(工)(作)(,任)(总)(经)(理)(助)(理)(,具)(体)(负)(责)(债)(券)(交)(易)(。借)(助)(国)(际)(信)(托)(公)(司)(这)(个)(平)(台)(,张)(某)(利)(用)(其)(职)(务)(身)(份)(所)(掌)(握)(的)(债)(券)(资)(源)(及)(需)(求)(信)(息)(,以)(及)(其)(他)(金)(融)(机)(构)(对)(于)(该)(国)(际)(信)(托)(公)(司)(作)(为)(债)(券)(交)(易)(乙)(类)(户)(资)(质)(和)(资)(金)(实)(力)(的)(信)(赖)(寻)(找)(交)(易)(对)(手)(开)(展)(撮)(合)(交)(易)(,从)(中)(挣)(取)(差)(价)(。
  闭)(环)(交)(易)(是)(为)(张)(某)(获)(得)(非)(法)(利)(益)(最)(多)(的)(方)(式)(。在)(75笔)(闭)(环)(交)(易)(后)(,张)(某)(向)(自)(己)(的)(丙)(类)(户)(输)(送)(利)(益)(1.1亿)(余)(元)(。
  张)(某)(这)(一)(行)(径)(明)(显)(违)(法)(。根)(据)(银)(行)(间)(债)(券)(市)(场)(的)(行)(业)(规)(则)(及)(其)(所)(在)(的)(国)(际)(信)(托)(公)(司)(的)(规)(定)(,债)(券)(交)(易)(员)(不)(能)(私)(自)(设)(立)(丙)(类)(账)(户)(,更)(不)(能)(委)(托)(甲)(类)(账)(户)(与)(其)(所)(任)(职)(的)(公)(司)(进)(行)(交)(易)(。张)(某)(已)(经)(严)(重)(违)(反)(了)(银)(行)(间)(债)(券)(市)(场)(交)(易)(规)(则)(和)(《银)(行)(间)(债)(券)(市)(场)(交)(易)(相)(关)(人)(员)(行)(为)(守)(则)(》的)(禁)(止)(性)(规)(定)(,违)(反)(了)(关)(于)(禁)(止)(债)(券)(从)(业)(人)(员)(进)(行)(利)(益)(输)(送)(及)(竞)(业)(禁)(止)(的)(相)(关)(规)(定)(。
  除)(了)(闭)(环)(交)(易)(外)(,张)(某)(还)(采)(用)(低)(价)(购)(进)(、高)(价)(卖)(出)(的)(方)(式)(“汲)(取)(”国)(际)(信)(托)(公)(司)(的)(利)(润)(。通)(过)(这)(两)(种)(债)(券)(交)(易)(方)(式)(,张)(某)(赚)(取)(利)(润)(近)(2800余)(万)(元)(。
  2011年)(3月)(,农)(村)(商)(业)(银)(行)(停)(止)(为)(张)(某)(的)(丙)(类)(户)(办)(理)(债)(券)(结)(算)(代)(理)(业)(务)(。为)(了)(继)(续)(自)(己)(的)(发)(财)(路)(,张)(某)(公)(然)(违)(反)(公)(司)(禁)(止)(开)(展)(代)(持)(交)(易)(的)(规)(定)(,通)(过)(加)(盖)(伪)(造)(的)(国)(际)(信)(托)(资)(产)(管)(理)(部)(及)(固)(定)(收)(益)(部)(的)(公)(章)(,委)(托)(自)(己)(女)(友)(就)(职)(的)(证)(券)(公)(司)(为)(自)(己)(所)(在)(的)(国)(际)(信)(托)(公)(司)(代)(持)(债)(券)(以)(继)(续)(养)(券)(。
  所)(谓)(“代)(持)(”,是)(指)(在)(银)(行)(间)(债)(券)(市)(场)(不)(转)(移)(债)(券)(所)(有)(权)(,而)(请)(其)(他)(机)(构)(代)(为)(持)(有)(债)(券)(,代)(持)(期)(满)(再)(以)(事)(先)(约)(定)(的)(价)(格)(购)(回)(债)(券)(。
  信)(托)(内)(控)(失)(察)(
  值)(得)(关)(注)(的)(是)(,张)(某)(仅)(仅)(担)(任)(了)(一)(年)(半)(的)(债)(券)(交)(易)(员)(,最)(终)(却)(侵)(占)(其)(所)(在)(信)(托)(公)(司)(2亿)(多)(元)(的)(利)(润)(。这)(一)(数)(字)(使)(这)(起)(案)(件)(一)(跃)(成)(为)(全)(国)(最)(大)(的)(银)(行)(间)(债)(市)(腐)(败)(案)(。
  对)(此)(,北)(京)(一)(位)(大)(型)(信)(托)(公)(司)(合)(规)(部)(门)(人)(士)(分)(析)(,债)(券)(交)(易)(员)(之)(所)(以)(敢)(顶)(风)(作)(案)(,也)(与)(此)(前)(债)(市)(监)(管)(环)(境)(疏)(漏)(有)(关)(。在)(2008~2010年)(当)(时)(的)(大)(背)(景)(下)(,金)(融)(监)(管)(的)(不)(完)(善)(以)(及)(债)(券)(体)(制)(存)(在)(的)(漏)(洞)(滋)(生)(了)(交)(易)(员)(违)(规)(操)(作)(的)(空)(间)(。
  2013年)(10月)(,针)(对)(2008年)(下)(半)(年)(至)(2010年)(上)(半)(年)(企)(业)(债)(市)(场)(,特)(别)(是)(城)(投)(债)(项)(目)(中)(违)(法)(违)(规)(的)(行)(为)(,由)(公)(安)(部)(门)(牵)(头)(开)(启)(“债)(市)(核)(查)(风)(暴)(”。其)(后)(,孙)(明)(霞)(、陈)(智)(军)(等)(8人)(因)(涉)(嫌)(非)(国)(家)(工)(作)(人)(员)(受)(贿)(罪)(、涉)(嫌)(职)(务)(侵)(占)(等)(多)(项)(罪)(名)(被)(提)(起)(公)(诉)(。
  上)(述)(观)(点)(也)(得)(到)(了)(信)(托)(研)(究)(人)(士)(的)(认)(同)(。
  普)(益)(财)(富)(信)(托)(研)(究)(员)(范)(杰)(认)(为)(,丙)(类)(户)(的)(利)(润)(输)(送)(确)(实)(是)(上)(述)(案)(件)(关)(键)(因)(素)(。在)(他)(看)(来)(,交)(易)(员)(严)(于)(律)(己)(,不)(仅)(仅)(是)(道)(德)(层)(面)(的)(约)(束)(,更)(重)(要)(的)(是)(监)(管)(到)(位)(。
  “债)(市)(风)(暴)(后)(,一)(度)(禁)(止)(丙)(类)(户)(交)(易)(,也)(说)(明)(监)(管)(层)(已)(经)(关)(注)(到)(其)(危)(害)(,并)(及)(时)(亡)(羊)(补)(牢)(。然)(而)(,面)(对)(层)(出)(不)(穷)(的)(金)(融)(创)(新)(,金)(融)(监)(管)(永)(远)(存)(在)(着)(监)(管)(盲)(区)(,任)(何)(体)(制)(的)(完)(善)(都)(要)(经)(历)(一)(个)(过)(程)(。”范)(杰)(说)(。
  对)(于)(上)(述)(信)(托)(公)(司)(而)(言)(,张)(某)(肆)(无)(忌)(惮)(的)(违)(规)(,在)(一)(定)(程)(度)(上)(也)(暴)(露)(了)(其)(风)(险)(控)(制)(的)(大)(BUG。
  某)(接)(近)(上)(述)(信)(托)(公)(司)(的)(内)(部)(人)(士)(也)(坦)(承)(,信)(托)(行)(业)(从)(10亿)(元)(规)(模)(迈)(上)(15亿)(元)(的)(台)(阶)(,中)(间)(经)(历)(了)(很)(多)(整)(合)(,规)(模)(和)(利)(润)(也)(都)(在)(同)(步)(增)(长)(。相)(形)(之)(下)(,信)(托)(公)(司)(内)(部)(合)(规)(、风)(控)(尚)(存)(在)(诸)(多)(弊)(端)(。此)(外)(,与)(国)(外)(信)(托)(监)(管)(相)(比)(,国)(内)(监)(管)(政)(策)(也)(亟)(须)(改)(革)(。
  记)(者)(了)(解)(到)(,2010年)(银)(监)(会)(发)(布)(了)(《信)(托)(公)(司)(监)(管)(评)(级)(与)(分)(类)(监)(管)(指)(引)(》(以)(下)(简)(称)(《监)(管)(指)(引)(》),该)(监)(管)(评)(级)(要)(素)(包)(括)(公)(司)(治)(理)(、内)(部)(控)(制)(、合)(规)(管)(理)(、资)(产)(管)(理)(和)(盈)(利)(能)(力)(五)(个)(方)(面)(。
  然)(而)(,与)(银)(行)(监)(管)(评)(级)(相)(比)(,《监)(管)(指)(引)(》在)(评)(级)(结)(果)(的)(应)(用)(上)(并)(不)(明)(确)(。更)(有)(甚)(者)(,由)(于)(监)(管)(评)(级)(结)(果)(直)(接)(与)(信)(托)(公)(司)(业)(务)(范)(围)(挂)(钩)(,在)(行)(业)(内)(推)(进)(时)(遇)(到)(了)(很)(大)(的)(阻)(力)(。这)(也)(导)(致)(评)(级)(结)(果)(至)(今)(也)(没)(有)(严)(格)(地)(与)(信)(托)(公)(司)(业)(务)(资)(质)(挂)(钩)(。
  截)(至)(目)(前)(,监)(管)(层)(对)(信)(托)(公)(司)(内)(部)(评)(级)(并)(没)(有)(形)(成)(统)(一)(意)(见)(。对)(信)(托)(公)(司)(来)(说)(,内)(部)(控)(制)(、合)(规)(管)(理)(等)(要)(素)(的)(推)(进)(也)(处)(于)(缓)(慢)(进)(行)(之)(中)(。
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