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证监会4个月下发45份处罚书 投资者索赔标的放大
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Topic: 证监会4个月下发45份处罚书 投资者索赔标的放大 (Read 80 times)
Kellybad
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证监会4个月下发45份处罚书 投资者索赔标的放大
May 16, 2017, 12:17:39 PM
#1
今年来,随着对上市公司违法违规查处力度加大,一些上市公司的违规违法终是“纸里包不住火”。数据统计显示,年内共有170家公司被证监会处罚。今日本报聚焦上市公司被处罚,希望上市公司以此作为镜子,反思自我,合法经营。
《证券日报》记者根据中国证监会公示的行政处罚决定书公告统计发现,从今年1月6日到5月5日,证监会对相关违法主体作出的《行政处罚决定书》多达45份,行政处罚主要集中在信息披露违规、内幕交易、操纵市场这三个方面。也就是说,在过去4个月里,证监会以平均每个月10份的速度对上市公司下发《行政处罚书》。
值得注意的是,今年证监会的执法监管出现许多明显特征,在对违法主体具体处罚中,顶格处罚情况也出现激增。业内律师认为,与往年相比,证监会今年的行政监管更加严厉,具体表现为受处罚人数增多、罚款金额加大、查处时间变短。
近日,*ST墨龙、雅百特、鞍重股份、嘉寓股份等多家公司的虚假陈述行为均被证监会开具了最高60万元罚单,而操纵市场被证监会处罚的罚单金额更是惊人,仅朱康军操纵“铁岭新城”、“中兴商业”股票案,就被证监会采取没收和罚款总金额超过5亿元。而证监会近期对鲜言“操纵案”开出逾34亿元的罚金,是迄今为止证监会对于单个自然人罚没金额最大的一次,也是证监会开出的“史上最大罚单”。
4个月行政处罚多达45份
北京市盈科律师事务所臧小丽律师表示,与往年相比,证监会近期的行政监管有更加严厉的倾向,雷厉风行。
以“忽悠式重组”鞍重股份受处罚案为例,证监会对共计33名责任主体开具了罚单,包括资产重组双方的实际控制人、高管、资产重组方的小股东。证监会认为其违背了信息披露并对其开具了罚单。而在北大方正系四家上市公司违规案件中,涉及被处罚的责任人近50名。
近期,证监会对方正系四家A股公司超过一年的调查告一段落。方正集团旗下子公司方正证券、方正科技以及中国高科同时发布公告称,收到来自证监会的《行政处罚事先告知书》,而主要原因几乎均为共同的大股东——方正集团隐瞒相关关联关系或关联交易,未配合上市公司履行信息披露义务。方正集团旗下另一家上市子公司北大医药也公告称,因违反信息披露规定,被顶格处罚。
目前,证监会对方正系旗下公司的4宗案件集中进行了听证、复核。据了解,该系列案件涉案主体多、链条长、手法隐蔽、持续时间久。
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