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证监会对3宗案件作出行政处罚

来源: 南方日报网络版     时间: 2018年12月10日 03:26:21
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(原)(标)(题)(:证)(监)(会)(对)(3宗)(案)(件)(作)(出)(行)(政)(处)(罚)(
近)(日)(,证)(监)(会)(依)(法)(对)(3宗)(案)(件)(作)(出)(行)(政)(处)(罚)(,其)(中)(包)(括)(:1宗)(信)(息)(披)(露)(违)(法)(违)(规)(案)(,2宗)(内)(幕)(交)(易)(案)(。
1宗)(信)(息)(披)(露)(违)(法)(违)(规)(案)(中)(,宁)(波)(圣)(莱)(达)(电)(器)(股)(份)(有)(限)(公)(司)((简)(称)(圣)(莱)(达)()2014年)(度)(经)(审)(计)(的)(净)(利)(润)(为)(负)(,预)(计)(2015年)(度)(净)(利)(润)(亦)(将)(为)(负)(,为)(防)(止)(被)(交)(易)(所)(特)(别)(处)(理)(,圣)(莱)(达)(寻)(求)(增)(加)(营)(业)(外)(收)(入)(,以)(便)(扭)(亏)(为)(盈)(。为)(此)(,圣)(莱)(达)(通)(过)(虚)(构)(影)(视)(版)(权)(转)(让)(业)(务)(和)(虚)(构)(财)(政)(补)(助)(的)(手)(段)(,虚)(增)(2015年)(度)(收)(入)(和)(利)(润)(2000万)(元)(,虚)(增)(净)(利)(润)(1500万)(元)(,导)(致)(2015年)(年)(度)(报)(告)(存)(在)(虚)(假)(记)(载)(。圣)(莱)(达)(的)(上)(述)(行)(为)(违)(反)(了)(《证)(券)(法)(》第)(63条)(规)(定)(,依)(据)(《证)(券)(法)(》第)(193条)(规)(定)(,我)(会)(决)(定)(对)(圣)(莱)(达)(责)(令)(改)(正)(,给)(予)(警)(告)(,并)(处)(以)(60万)(元)(罚)(款)(。对)(于)(相)(关)(责)(任)(人)(员)(,我)(会)(将)(另)(行)(依)(法)(处)(理)(。
2宗)(内)(幕)(交)(易)(案)(中)(,一)(是)(王)(良)(友)(、周)(某)(文)(系)(云)(南)(文)(山)(电)(力)(股)(份)(有)(限)(公)(司)((简)(称)(文)(山)(电)(力)()重)(大)(资)(产)(重)(组)(内)(幕)(信)(息)(的)(知)(情)(人)(。在)(内)(幕)(信)(息)(敏)(感)(期)(内)(,王)(良)(友)(控)(制)(使)(用)(“于)(某)(松)(”、“于)(某)(宇)(”和)(“闫)(某)(红)(”账)(户)(买)(入)(“文)(山)(电)(力)(”,获)(利)(约)(173万)(元)(;石)(朝)(辉)(系)(周)(某)(文)(表)(哥)(,在)(内)(幕)(信)(息)(敏)(感)(期)(内)(,其)(与)(周)(某)(文)(存)(在)(通)(讯)(联)(络)(,并)(控)(制)(使)(用)(本)(人)(账)(户)(买)(入)(“文)(山)(电)(力)(”,亏)(损)(约)(10万)(元)(。王)(良)(友)(、石)(朝)(辉)(的)(上)(述)(行)(为)(违)(反)(了)(《证)(券)(法)(》第)(73条)(、第)(76条)(规)(定)(,依)(据)(《证)(券)(法)(》第)(202条)(规)(定)(,我)(会)(决)(定)(没)(收)(王)(良)(友)(违)(法)(所)(得)(约)(173万)(元)(,并)(处)(以)(约)(348万)(元)(罚)(款)(;对)(石)(朝)(辉)(处)(以)(30万)(元)(罚)(款)(。二)(是)(李)(胤)(某)(某)(系)(松)(德)(智)(慧)(装)(备)(股)(份)(有)(限)(公)(司)((简)(称)(智)(慧)(松)(德)()拟)(发)(行)(股)(份)(购)(买)(资)(产)(这)(一)(内)(幕)(信)(息)(的)(知)(情)(人)(。在)(内)(幕)(信)(息)(敏)(感)(期)(内)(,陈)(汉)(腾)(与)(李)(胤)(某)(某)(存)(在)(联)(络)(接)(触)(,陈)(汉)(腾)(控)(制)(使)(用)(本)(人)(证)(券)(账)(户)(买)(入)(“智)(慧)(松)(德)(”134,100股)(,获)(利)(约)(34.9万)(元)(。陈)(汉)(腾)(的)(上)(述)(行)(为)(违)(反)(了)(《证)(券)(法)(》第)(73条)(、第)(76条)(规)(定)(,依)(据)(《证)(券)(法)(》第)(202条)(规)(定)(,我)(会)(决)(定)(对)(陈)(汉)(腾)(没)(收)(违)(法)(所)(得)(约)(34.9万)(元)(,并)(处)(以)(约)(104.8万)(元)(罚)(款)(。
上)(述)(行)(为)(违)(反)(了)(证)(券)(期)(货)(法)(律)(法)(规)(,对)(市)(场)(秩)(序)(造)(成)(了)(负)(面)(影)(响)(,应)(当)(坚)(决)(予)(以)(严)(厉)(打)(击)(。我)(会)(将)(坚)(持)(依)(法)(全)(面)(从)(严)(监)(管)(的)(原)(则)(,整)(治)(市)(场)(乱)(象)(,切)(实)(维)(护)(市)(场)(秩)(序)(,保)(护)(投)(资)(者)(的)(合)(法)(权)(益)(。返)(回)(搜)(狐)(,查)(看)(更)(多)(责)(任)(编)(辑)(:
声)(明)(:该)(文)(观)(点)(仅)(代)(表)(作)(者)(本)(人)(,搜)(狐)(号)(系)(信)(息)(发)(布)(平)(台)(,搜)(狐)(仅)(提)(供)(信)(息)(存)(储)(空)(间)(服)(务)(。
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