東莞偵探服務(wù)-大新聞！中國證券監(jiān)管委員會的最新舉動，您需要知道這六個主要的股票市場信息
1。中國證券監(jiān)管委員會發(fā)布了行業(yè)標(biāo)準(zhǔn)“證券和期貨行業(yè)信息系統(tǒng)信任的基本要求”
中國證券監(jiān)管委員會最近發(fā)布并實施了“證券和期貨行業(yè)信息系統(tǒng)的基本要求”。根據(jù)實踐和行業(yè)發(fā)展的實際需求，我們制定行業(yè)統(tǒng)一信息系統(tǒng)托管標(biāo)準(zhǔn)。
首先，它可以為行業(yè)商業(yè)機構(gòu)提供明確的參考，以選擇托管機構(gòu)，同時為系統(tǒng)建設(shè)和管理為行業(yè)提供托管服務(wù)的機構(gòu)提供指導(dǎo)；其次，基于“誰控制東莞偵探服務(wù)-大新聞！中國證券監(jiān)管委員會的最新舉動，您需要知道這六個主要的股票市場信息，誰負(fù)責(zé)”的原則，它顯然劃分了監(jiān)護人和受托人的責(zé)任，以避免在很大程度上因托管業(yè)務(wù)系統(tǒng)中的失敗或事故而引起的爭議和爭議；第三，根據(jù)托管系統(tǒng)的重要性對托管要求進行分類，并實現(xiàn)了差異化的管理。在充分確保系統(tǒng)的安全性和可用性的同時，它避免了諸如“單身型”造成的費用過高和浪費資源之類的問題。
2。關(guān)于中國證券監(jiān)管委員會2015年私募股票基金檢查和執(zhí)行的通知
由于被包括在我們協(xié)會的監(jiān)督中，因此私募股權(quán)基金已經(jīng)迅速發(fā)展。目前，已經(jīng)注冊了25,000名私募股權(quán)基金經(jīng)理，其資金規(guī)模為5.1萬元人民幣。一些私募股權(quán)基金以標(biāo)準(zhǔn)化的方式運作，為促進創(chuàng)新和創(chuàng)業(yè)，增加融資渠道和促進經(jīng)濟發(fā)展做出了切實的貢獻。但是，私募股權(quán)行業(yè)的快速發(fā)展存在某些問題。為了監(jiān)督私募股權(quán)基金行業(yè)的標(biāo)準(zhǔn)化運營，加強預(yù)防風(fēng)險，并保護投資者的合法權(quán)利和利益，2015年，我們的協(xié)會組織了協(xié)會的所有當(dāng)事方，對140多個私募股權(quán)基金經(jīng)理和私募股權(quán)基金銷售機構(gòu)進行140多個私募股權(quán)基金經(jīng)理和與地方置于私募股權(quán)進行合作的私人銷售機構(gòu)的現(xiàn)場檢查。
檢查發(fā)現(xiàn)，私人股票基金領(lǐng)域存在以下非法和不規(guī)則問題，甚至涉嫌非法籌款和其他犯罪活動：
首先，注冊和歸檔信息被扭曲。如果私募股權(quán)基金管理機構(gòu)和私募股權(quán)基金的注冊和申請信息不完整且不真實，則該更新不是及時的，并且未根據(jù)法規(guī)進行周期性報告和重大更改。
其次，籌款行為是非法的。例如從不合格的投資者那里籌集資金，降低投資者的偽裝門檻，從未指定的對象中公開籌集，夸張或虛假的宣傳，非法保證本金和利潤，并且投資者的數(shù)量超過了法定人數(shù)限制等。
第三，投資操作行為違反了法規(guī)。例如挪用或挪用基金財產(chǎn)，將固有財產(chǎn)與基金財產(chǎn)相混淆，違反合同協(xié)議，轉(zhuǎn)讓福利等。
第四，公司管理不當(dāng)。例如，內(nèi)部管理和風(fēng)險控制系統(tǒng)不合理，公司的管理很弱；信息披露系統(tǒng)不健全，信息披露未充分披露；沒有防止利益沖突或?qū)嵤┎蛔愕臋C制。
第五，涉嫌犯下非法犯罪。如果您使用虛假或夸張的項目作為幌子，請使用誘餌保證資本和高回報作為誘餌，并從未指定的物體中公開籌集資金，涉嫌非法吸收公共存款或籌款欺詐；市場操縱，內(nèi)部交易等。
為了遏制非法和非法行動，在2015年，我將區(qū)分不同的情況，并根據(jù)法律采取以下措施：
首先，對上海Baoyin Chuangying Investment Management Co.，Ltd.施加了行政處罰。
其次，對以下27個私募股權(quán)基金經(jīng)理采取行政監(jiān)督措施：huaxia Hengye Investment Investment Fund Management（Beijing）Co.，Liubao（BEIJIJING）（BEIJIJING）投資基金管理公司，Liubao Investment Investment Co.Huimian Investment Investment Co.Huishi Huishi Investment Co。 Taiyuan Xinjinshang Venture Capital Fund Co.廣州Yinrun投資咨詢公司，有限公司，廣州Anzhou投資管理公司，有限公司，廣州蘇福索福投資管理有限公司，上海Kaishi Yizheng Yizheng Asset Asset Management Co.上海Wenyu股票投資管理有限公司，上海Baoyin Chuangying Investment Management Co. Co.，Ltd。，Shaanxi Shengyu投資管理有限公司，Sichuan Yaosheng Investment Management Co.，Ltd。，Anhui Pacific工業(yè)投資基金管理有限公司，Henan Dongda Asset Management Co.，Ltd.，Henan Imanelli Asset Asset Management Co.
第三，將對以下兩個私募股權(quán)銷售機構(gòu)采取行政監(jiān)督措施：上海Haomaixin Investment Management Co.，Ltd。和Wuhan Wealth Cornerstone Investment Investment Management Co.，Ltd.
第四，將針對以下八名相關(guān)負(fù)責(zé)人采取行政監(jiān)督措施：Gui Jinsheng，Taiyuan Xinjinshang Venture Venture Capital Capital Management Co.，Ltd。，Zhao Xioochang和Du Huairang，商業(yè)主管； niu Liping，宗隆金興投資保證有限公司的法定代表，公司負(fù)責(zé)人蒂安·亞本（Tian Yabin）； Yulin Hengxin Equity Investment Management（Dalian）Co.，Ltd。的法定代表Zheng Huanqing；上海Baoyin Chuangying Investment Management Co.，Ltd。的法定代表Cui Jun；方恩克投資管理集團有限公司董事長兼總經(jīng)理Shan Xiangshuang。
此外，還提出了9位私募股權(quán)基金經(jīng)理進行檢查； 21個私募股權(quán)基金經(jīng)理被轉(zhuǎn)移到公共安全器官或地方政府，以涉嫌非法和犯罪線索。
3。CSRC對“膠合板1502”期貨合同操縱案施加行政處罰
最近，中國證券監(jiān)管委員會對陶楊和富江的案件做出了行政罰款決定，操縱“膠合板1502”期貨合同，沒收了1,140,??444元的非法收入，并處以雙重罰款，總罰款3,421,332 yuan。同時，由于兩人操縱了非活動期貨合約的價格，因此影響了膠合板期貨產(chǎn)品價格發(fā)現(xiàn)功能的正?？冃АＧ闆r相對嚴(yán)重。 CSRC給出了兩項措施，以分別禁止期貨市場進入3年和5年。
中國證券監(jiān)管委員會確定，從2014年12月19日到2014年12月31日，陶楊和富江實際上控制著14個未來帳戶，包括“ Zhuxin Industrial”，并通過集中的資金優(yōu)勢，職位優(yōu)勢，交易之間的交易以及他們實際控制的交易以及“交易的交易”以及“交易的交易”以及“ plyefian Contructian Contructian Contructian Contructian Contructian Contructian Contructian Contructian Contructian Contructian Contructian Confortian of Plywood 1502”。集中資金，職位優(yōu)勢，并在他們實際控制的帳戶中進行交易，并最終獲得了1,140,??444元的利潤。此案是對期貨市場聯(lián)合操縱的相對典型案例，其特征是：首先，有許多帳戶，涉及個人帳戶，合法人帳戶和特殊基金法律人士帳戶。其次，采用多種操縱技術(shù)并共同控制它們。第三，在短時間內(nèi)，大量資金將用于中心操縱非活動期貨合約。道陽和富江上述行為違反了期貨交易管理法規(guī)第3和40條的規(guī)定，并構(gòu)成了操縱期貨交易管理法規(guī)第71條，第1款，第（1）款，第（1）款和（3）中所述的期貨交易價格的行為。
在當(dāng)前的資本市場中，操縱市場是典型且高度非法的行為，是中國證券監(jiān)管委員會嚴(yán)重鎮(zhèn)壓的重點。期貨市場的操縱就像對證券市場的操縱一樣。它是通過不當(dāng)手段，扭曲市場價格形成機制，破壞市場交易訂單并嚴(yán)重?fù)p害其他投資者的合法利益，建立虛假的市場供應(yīng)關(guān)系，證券和期貨價格。為了維持證券和期貨市場的效率，公平性和透明度，我將根據(jù)法律堅決地打擊這種行為。
4。中國證券監(jiān)管委員會根據(jù)法律制造和傳播虛假信息的制造和傳播
最近，中國證券監(jiān)管委員會對制造和傳播虛假信息的案件施加行政處罰東莞調(diào)查取證事務(wù)所，并命令劉Qintao糾正局勢，并罰款150,000元。 《證券法》第78條明確規(guī)定，禁止國家雇員，媒體從業(yè)人員和相關(guān)人員制造和傳播虛假信息并破壞證券市場。信息披露是證券市場生存的基礎(chǔ)。所有在證券市場上公開發(fā)布信息的實體都有義務(wù)確保其發(fā)送信息的真實性，準(zhǔn)確性和完整性。相關(guān)方以任何形式制造或傳播虛假信息以破壞證券市場的任何形式，中國證券監(jiān)管委員會必須根據(jù)法律嚴(yán)重打擊它。
在這種情況下，涉及劉Qintao的人在2015年6月2日晚上的“中國南部汽車酒吧”上發(fā)表了一篇題為“東瓜證券警告超過5000萬個VIP的風(fēng)險警告”。預(yù)計周四和周五將會有主要的負(fù)面消息。該消息吸引了許多網(wǎng)民的注意。在中國證券監(jiān)管委員會進行了Dongguan證券自己的調(diào)查和驗證之后，沒有發(fā)現(xiàn)Dongguan證券將上述通知發(fā)送給其客戶。所謂的“對超過5000萬個VIP的風(fēng)險警告”是Liu Qintao制造的虛假信息。在敏感的股票市場波動期間，它在“中國南方汽車酒吧”的在線環(huán)境中傳播謠言，這是許多關(guān)注和與人群相關(guān)的問題，誤導(dǎo)了投資者，在其他市場信息中形成了超級定位效應(yīng)，并破壞了證券市場。 CSRC根據(jù)《證券法》第78條和第206條對Liu Qintao進行制造和傳播虛假信息的行為“ Dongguan Securities對超過5000萬個VIP的風(fēng)險警告”的行為施加了行政處罰，而不是短暫的位置，而不是短期位置。
與傳統(tǒng)媒體相比，互聯(lián)網(wǎng)具有數(shù)字共享，免費資源和快速傳播的特征。即使是沒有社會影響力的普通人也可以在短時間內(nèi)以很小的成本創(chuàng)造出熱門輿論的熱門話題，并引起公眾的關(guān)注。證券市場中的輿論變化與大多數(shù)投資者的財產(chǎn)利益密切相關(guān)，并且更有可能形成信息熱點。尤其是在A共享市場中，散戶投資者占高比例的占主導(dǎo)地位，中小型投資者在擁有和識別市場信息方面處于弱勢群體，在線謠言更加有害。證券市場有三個主要危害：首先，它破壞了市場的完整性環(huán)境，這不僅侵犯了虛假信息所指的對象的合法權(quán)利和利益，還侵犯了其正常的生產(chǎn)和運營活動，還誤導(dǎo)了投資者的決策并造成房地產(chǎn)損失。其次，虛假信息將在發(fā)酵和傳播后破壞資本市場的正常運營機制。第三，在特殊的市場環(huán)境中，例如在敏感的市場波動期間，虛假信息可能在公眾輿論環(huán)境中形成“蝴蝶效應(yīng)”，夸張的恐慌，引發(fā)過度的市場反應(yīng)，甚至引起市場風(fēng)險。危害不能被低估，必須嚴(yán)重破解。
中國證券監(jiān)管委員會提醒投資者增強其識別在線信息的能力，堅決抵制非法行為，例如創(chuàng)建謠言和傳播謠言，并共同維護誠實且值得信賴的公眾輿論環(huán)境。同時，任何發(fā)布涉及互聯(lián)網(wǎng)證券市場的信息的人都應(yīng)遵守法律，不應(yīng)隨意傳播謠言或誤導(dǎo)它們，造成恐慌，破壞市場信息的正常傳播，并影響市場機制的正常運作。 CSRC將根據(jù)法律規(guī)定制造和傳播虛假信息的各種行為，凈化市場公眾輿論環(huán)境，并保護投資者的合法權(quán)利和利益。
5。2015年中國證券監(jiān)管委員會的檢查和執(zhí)法通知
在2015年，側(cè)重于檢查和執(zhí)法的基本責(zé)任和核心工作，中國證券監(jiān)管委員會將監(jiān)督轉(zhuǎn)變?yōu)橹改?，著重于削弱非法和不?guī)則活動，以“ 2015年證券監(jiān)管法網(wǎng)絡(luò)”的行動作為起點，并以典型的典型和典型的范圍造成了典型的頻率，并在典型的范圍內(nèi)進行了典型的行為，并以典型的范圍進行了行動 方式。檢查和執(zhí)法工作的相關(guān)性，及時性和有效性得到了極大的改善，并且已經(jīng)實現(xiàn)了良好的法律，社會和市場影響。
1。認(rèn)真履行檢查和執(zhí)法的職責(zé)，并打擊各種非法和不規(guī)則活動
（1）調(diào)查和懲罰的案件數(shù)量已大大增加，對非法和違規(guī)行為的懲罰強度顯著增加，執(zhí)法的高壓狀況也有所增加。
從2015年1月到12月，CSRC系統(tǒng)總共接受了723個非法和違規(guī)行為的有效線索，比上一年有顯著增加?？偣蔡崞鹆?45例新案件，同比增加68％（過去三年中提交的案件數(shù)量如下所示）； 139個新的與外國有關(guān)的病例，同比增長28％；提交了334例新案件，同比增長54％。提起案件的平均調(diào)查期為86天，比上一年減少40天。共有288個可疑當(dāng)事方采取了措施限制其退出。該案涉及的資金總額為37.51億元人民幣，是前幾年最大的。將55起案件轉(zhuǎn)移到公共安全器官，并報告了50多個犯罪線索。 273個案件被移交給了審判，行政罰款決定或行政罰款通知已向767個機構(gòu)和個人提出，增加了100％以上的同比，涉及罰款和沒收，這是上十年中罰款和沒收的1.5倍。調(diào)查和懲罰的案件數(shù)量繼續(xù)增加，調(diào)查和懲罰期大大縮短，罰款和沒收的強度大大增加，并且威懾作用顯而易見。
（2）傳統(tǒng)類型的案件數(shù)量仍然很高，新類型的案件繼續(xù)出現(xiàn)，案例調(diào)查和懲罰已擴大到多種類型。
從1月到12月，中國證券監(jiān)管委員會繼續(xù)保持高壓局面的內(nèi)幕交易和不公開信息交易，總共調(diào)查85起案件，并調(diào)查53起案件以實現(xiàn)過高的股份，并且案件的數(shù)量仍為高水平。積極實施以信息披露為中心的監(jiān)管和執(zhí)法概念，并不斷增加對違反上市公司的信息披露的鎮(zhèn)壓。共有61起案件調(diào)查，占18％，同比增長53％。為了應(yīng)對影響市場秩序的重大問題，我們專注于破解和懲罰市場操縱案件，并總共提起了71起案件調(diào)查。在過去三年中，案件數(shù)量達到了新的高度，占21％，同比增長373％。其中，新型的操縱案件，例如信息操縱，濫用程序交易操縱以及濫用保證金交易操縱。調(diào)查規(guī)范市場運營命令。第一次，諸如制造和傳播虛假信息，在新董事會上開設(shè)證券公司的非法帳戶以及非法和不規(guī)則的私募股權(quán)資金已包括在執(zhí)法的角度中，它們將積極發(fā)揮個人案件的輻射效應(yīng)“從表面到表面”（有關(guān)2015年案件備案的類型，請參見下圖）。
（3）案件涉及的受試者更為廣泛，調(diào)查東莞私家偵探推薦，懲罰和鎮(zhèn)壓的覆蓋范圍將擴大。
為了應(yīng)對以前的二級市場交易中非法線索比例很高的問題，而在各個機構(gòu)的商業(yè)實踐中的非法線索較少，中國證券監(jiān)管委員會積極地領(lǐng)導(dǎo)了針對問題和風(fēng)險，以促進相關(guān)機構(gòu)的標(biāo)準(zhǔn)化操作，并增強相關(guān)線索的能力。從3月到5月，檢查和執(zhí)法部門對203個證券和期貨運營機構(gòu)，證券投資咨詢機構(gòu)和私募股權(quán)機構(gòu)進行了“兩次加強，兩次遏制”檢查，并發(fā)現(xiàn)了四種類型的風(fēng)險危害，19條非統(tǒng)治和不規(guī)則和其他商業(yè)規(guī)則的侵犯。它根據(jù)“調(diào)查和懲罰違規(guī)，糾正違規(guī)，加強弱點，消除盲點和防止風(fēng)險”的原則及時處理他們，并對許多可疑的信息操縱和利息轉(zhuǎn)移案件進行調(diào)查。全年調(diào)查和處理的案件涉及多個部門，例如主董事會，中小型企業(yè)董事會，寶石和新的第三委員會，包括證券案件，期貨案件和跨市場案件。有48個可疑和不規(guī)則的證券和期貨運營機構(gòu)，私募股權(quán)基金，證券和期貨服務(wù)機構(gòu)等案件，總計48例，同比增長7倍。被調(diào)查和處理的人是計劃/發(fā)行的上市實體，例如擬議的上市公司，上市公司和未上市的上市公司，以及證券和期貨基金經(jīng)營機構(gòu)，投資咨詢機構(gòu)，分配平臺機構(gòu)，分配機構(gòu)，分配機構(gòu)，分配事務(wù)所，會計師事務(wù)所，會計師事務(wù)所，律師事務(wù)所和其他證券服務(wù)機構(gòu)；有一些公共資產(chǎn)管理機構(gòu)發(fā)行公共產(chǎn)品以參與市場交易，而私人資產(chǎn)管理機構(gòu)則發(fā)行私募股權(quán)產(chǎn)品以參與市場交易；有些機構(gòu)可以為CSRC提供市場獲取和業(yè)務(wù)許可，以及直接參與市場交易的社會實體；既有著名的海外機構(gòu)（QFII），以及國內(nèi)資產(chǎn)管理機構(gòu)和投資機構(gòu)；由于傳播虛假和誤導(dǎo)性信息，一些媒體機構(gòu)也參與了案件。在所有領(lǐng)域和實體類型中的檢查和執(zhí)法的全面覆蓋范圍已實施了嚴(yán)格執(zhí)法，公平執(zhí)法和文明執(zhí)法的工作要求，并解釋了違反法律和法規(guī)的“零容忍”。
2。“ 2015年證券監(jiān)管法網(wǎng)絡(luò)”的特殊行動實施了檢查和執(zhí)法的新思想，并提高了執(zhí)法的主動性，相關(guān)性和有效性。
（4）堅實地促進監(jiān)管轉(zhuǎn)型，并增強審計和執(zhí)法方面的主動性。
專注于監(jiān)督轉(zhuǎn)型，返回面向監(jiān)督的原則，以創(chuàng)新的審計執(zhí)法概念和模型為指南，并全面發(fā)揮審計執(zhí)法的功能?；谛碌母拍睿骸皬谋粍拥却D(zhuǎn)變?yōu)榧皶r和主動的干預(yù)，從對個別案件的破解轉(zhuǎn)變?yōu)殛P(guān)鍵局部案件，從檢查個人戰(zhàn)斗轉(zhuǎn)變?yōu)楣餐嗖块T的協(xié)作戰(zhàn)斗模式，以及從機密封閉的執(zhí)法部門轉(zhuǎn)變?yōu)榕c市場的交互式開放執(zhí)法行動”，《中國證券監(jiān)管委員會的執(zhí)法》''，“ 2015年啟動”。搜索發(fā)現(xiàn)鏈接采取了主動行動，深入研究典型的非法和不規(guī)則線索，并具有嚴(yán)重的市場危害和強烈的社會反應(yīng)。在調(diào)查和證據(jù)取證過程中，所有各方的共同努力都會收集，并且批次將很快違反，直到有限的時間。在調(diào)查和識別過程中，將掌握違規(guī)和法規(guī)的本質(zhì)，并將統(tǒng)一識別標(biāo)準(zhǔn)，并將促進各種案件的快速和公開處理。它反映了在新市場條件下檢查和執(zhí)法的新特征。
（5）及時應(yīng)對市場關(guān)注，并提高檢查和執(zhí)法的相關(guān)性。
CSRC將“證券監(jiān)督和法律網(wǎng)絡(luò)”視為早期階段快速市場上升的兩個階段的主要線路，而后期階段異常波動。它根據(jù)新的案例頻繁且較高的案件發(fā)生率（例如新董事會市場）以及其他特定類型的虛假信息以及傳統(tǒng)操縱技術(shù)的新特征，結(jié)合新產(chǎn)品（股票索引期貨等新產(chǎn)品（新企業(yè)），新企業(yè)（新的股票），新聞，新聞，livensick lessiese logiess，locked logiesities，（編程），，基于新的情況（庫存），新產(chǎn)品（庫存），新產(chǎn)品（庫存），新產(chǎn)品（庫存），新產(chǎn)品（庫存），新產(chǎn)品（庫存），新的特征（零售），基于新產(chǎn)品（庫存），新產(chǎn)品（庫存），新產(chǎn)品（庫存），新的特征（contressies logiest）（logations），新的特征（編號），新的企業(yè)，新的企業(yè)，新的特征（編號），新聞，新的特征（編程） ETF和期貨市場等）。從4月底到7月初，中國證券監(jiān)管委員會在響應(yīng)諸如虛假陳述，市場操縱和制造諸如股票市場迅速上升的虛假信息以及在股票市場迅速上升的虛假信息以及新的第三局和其他領(lǐng)域的非法和不規(guī)則行為的情況下，部署了5批60個案件。自7月以來，為了應(yīng)對股票市場異常波動期間的主要矛盾，為響應(yīng)非法和不規(guī)則的市場操縱而在非市場融資領(lǐng)域中部署了三批案件。 Especially in the 7th batch of cases of the "Securities and Supervision Law Network", the CSRC used full legal weapons to address the suspicion of market manipulation under the market conditions at that time and screened out dozens of clues of market manipulation cases, covering a variety of manipulation types and methods such as continuous transaction manipulation, abuse of ETF transaction manipulation, abuse of programmatic transaction manipulation, false declaration, counter-counter,和反檢測。這些案件是高度針對性的，并且及時回應(yīng)了社會各方的廣泛關(guān)注。
（vi）專注于提高執(zhí)法效率并有效提高執(zhí)法的有效性和透明度。
“證券監(jiān)督和法律網(wǎng)絡(luò)”創(chuàng)造了一種新的檢查和執(zhí)法模式，并在批處理，轉(zhuǎn)移和釋放案件中，創(chuàng)造了對犯罪分子的連續(xù)而有力的威懾，為改善監(jiān)管系統(tǒng)的系統(tǒng)案件，并成為穩(wěn)定，維修和建設(shè)市場的有機一部分。在120例案件的8批批次中，有102例已經(jīng)完成了102起案件，已將12例案件轉(zhuǎn)移到公共安全機構(gòu)中，已將71起案件移交給了公共安全機器人，5例已轉(zhuǎn)移給公共安全，并已將其轉(zhuǎn)移給公共安全機器人，并同時嘗試了85％的案例率，幾乎為85％，幾乎為90％。根據(jù)備案案件的平均調(diào)查周期（從案件的啟動到懲罰的轉(zhuǎn)讓）至86天，“證券監(jiān)督和法律網(wǎng)絡(luò)”案件的平均調(diào)查周期為64天。在增加執(zhí)法工作的同時，我們將有效地加強執(zhí)法宣傳工作，并向市場傳達嚴(yán)格執(zhí)法的強烈信號。在批量驗證，部署，進入，進入，突破和轉(zhuǎn)移線索的每個節(jié)點上，我們將釋放有關(guān)相似案件進度超過十次進度的動態(tài)信息，劃出清晰的紅色違法行為，違法行為，清晰的信號和快速形成動量，在案件中公開處理，并在案件受到懲罰后公開予以懲罰，以釋放數(shù)十個懲罰性，以使各種疾病的態(tài)度構(gòu)成強大的態(tài)度，并有效地構(gòu)成了有效的態(tài)度，并有效地構(gòu)成了有效的有效態(tài)度。
3。進一步整合了檢查和執(zhí)法的聯(lián)合力量，加強機制構(gòu)建并標(biāo)準(zhǔn)化電力運行
（7）有效地整合審計協(xié)同作用，優(yōu)化執(zhí)法資源的分配，并大力加強外部合作。
CSRC的所有監(jiān)管和執(zhí)法部門履行其職責(zé)并共同努力，尤其是在“證券和監(jiān)督法網(wǎng)絡(luò)”中，以協(xié)調(diào)和施加共同的努力。中國證券監(jiān)管委員會的檢查職能部門在“指揮與協(xié)調(diào)，監(jiān)督和指導(dǎo)以及服務(wù)保證”的核心職能方面進一步發(fā)揮了出色的作用。所有案件處理部門都發(fā)揮了主觀倡議來克服困難。交流和其他政黨有效地履行了他們自律管理和前線監(jiān)控的責(zé)任。每日監(jiān)管部門，例如機構(gòu)部，上市部，期貨部，會計部門加強了與檢查和執(zhí)法部門的工作聯(lián)系。有保險基金公司，中東公司和其他托管部門利用自己的優(yōu)勢積極提供數(shù)據(jù)查詢服務(wù)。中國證券監(jiān)管委員會的行政罰款部門提前介入了新的違規(guī)和市場問題。法律部門積極參與了有關(guān)困難和復(fù)雜案件的磋商。總辦公室信息辦公室提供了一個宣傳平臺，所有線路共同努力確保執(zhí)法的有效性。
為了有效解決嚴(yán)重短缺執(zhí)法部隊和越來越重的執(zhí)法任務(wù)的實際問題，CSRC不斷優(yōu)化了監(jiān)管資源的分配。 In view of the outstanding characteristics reflected in law enforcement practice, especially during abnormal fluctuations in the stock market, and fully considered that the stock exchange has information, technology, and resource advantages, and has the organizational and talent conditions to fulfill the responsibilities of case 調(diào)查 and 取證 , it has launched a pilot work to entrust the Shanghai and Shenzhen Stock Exchanges to undertake the specific 調(diào)查 responsibilities of some cases, adding 160 law enforcement personnel, further improving the multi-level inspection and law enforcement system of the CSRC.
During the law enforcement process, especially in the handling of major cases, the China Securities Regulatory Commission has effectively strengthened law enforcement cooperation with public security organs, communications authorities, the People's Bank of China and other relevant units. In view of the outstanding characteristics of securities and futures market cases, such as huge amount of funds, complex transfer paths, high degree of electronic transactions, and wide range of regions involved, the determination of cases objectively requires the acquisition of massive evidence in many aspects such as fund allocation, information dissemination, technology application, and personnel relations to support it. The CSRC continues to strengthen two-way law enforcement cooperation with the public security department, give full play to their respective functional advantages, and work together to quickly investigate and deal with cases such as manipulating the market, fabricating, and disseminating false information in the securities market during abnormal fluctuations in the stock market; actively explore effective cooperation mechanisms with public security organs, industry and information departments, the People's Bank of China and other units, solve the huge amount of 取證 problems that have long restricted law enforcement efficiency, and constantly explore ways to investigate in line with market laws and case handling needs.
(8) Comprehensively innovate the law enforcement mechanism and promote the construction of a comprehensive law enforcement system.
While maintaining a high-pressure crackdown on illegal and irregular behaviors in the securities and futures market, the China Securities Regulatory Commission has effectively strengthened the construction of an inspection and law enforcement mechanism. Further establish and improve the clue discovery mechanism, strengthen the monitoring of illegal and irregular clues, and improve the ability to respond quickly to clue discovery and inspection law enforcement. Improve the effectiveness and standardization of 調(diào)查 取證 work, and build a system of case 調(diào)查 取證 rules. Timely summarize the work experience in investigating and handling new difficult cases since abnormal fluctuations, and formulate detailed rules such as manipulating market recognition rules. Pay attention to the construction of audit information systems, increase the configuration of equipment for 調(diào)查 取證 , actively promote the construction of the comprehensive management platform system for audit law enforcement and the construction of the central monitoring room, and improve the technology and information level of case investigation and handling. Establish and improve the case 調(diào)查 and supervision mechanism to improve the quality of case handling. Strengthen the cooperation and cooperation mechanism between audit and law enforcement departments, daily supervision departments, self-discipline supervision departments and relevant competent departments outside the meeting, formulate and refine the connection rules between audit and law enforcement, daily supervision and news releases, and explore the integrated model of special inspection and law enforcement. Research and refine the rules for case information release to improve the transparency and law enforcement efficiency of inspection and law enforcement.
(9) Strengthen the construction of inspection and integrity mechanisms and standardize the operation of inspection power.
While steadily promoting supervision transformation, strengthening the allocation of law enforcement forces, and increasing the intensity of inspection and law enforcement, the China Securities Regulatory Commission has strengthened the standardization of the operation of inspection power, and in accordance with the overall requirements of the construction of party style and clean government, combined with its own work characteristics, strengthened the construction of discipline style and restraint mechanisms. In order to effectively strengthen the full-process supervision of audit case handling and effectively prevent the corruption risks of the operation of audit law enforcement power, the "Pilot Plan for Third-Party Registration Supervision of Basic Documents of Audit Cases" was issued and implemented, and a third-party registration supervision system for basic documents of audit cases was formally established, and pilot work was carried out in 10 調(diào)查 units in the CSRC 系統(tǒng)。 In order to more effectively implement the requirements of strengthening the main responsibility and supervision responsibility for party style and clean government construction, and in combination with the actual situation of inspection and law enforcement, we will formulate and issue the "Ten bans for inspection and case handling in the entire field of inspection and law enforcement," and standardize the entire process of case handling work in the form of a negative list, and openly accept social supervision.
Overall, auditing and law enforcement have become the most intuitive and powerful guarantee for the CSRC to govern the city according to law, the most effective and direct means to enhance the deterrence and credibility of the regulatory market, and it is also the most solid and stable backing for preventing and resolving systemic financial risks, and the most powerful driving force for promoting and consolidating the basic system of the capital market. In 2016, with the continuous advancement of regulatory transformation, especially the introduction of the reform of the stock issuance registration system, supporting measures focusing on strict law enforcement will be followed up in a timely manner. The CSRC will continue to improve its audit and law enforcement capabilities, always severely punish illegal and irregular behaviors, vigorously increase the cost of illegal and irregularities, resolutely perform the "two safeguards, one promotion" functions, safeguard all key tasks of the CSRC, and effectively protect the stable and healthy development of my country's capital market and the legitimate rights and interests of investors.
6. Q&A session of the press conference
1. Question: Recently, some media reported that more than 500 billion of the stocks pledged by major shareholders of some listed companies may be disposal due to price declines and the closing line. What is the specific situation?
Answer: The media reports are incorrect. According to the data I have, as of January 14, the financing balance of the on-site stock pledge business below the closing line was 4.1 billion yuan, accounting for 0.6% of the overall scale. Most borrowers eliminated the closing risk by adding collateral and other measures. At present, the overall average performance guarantee ratio is about 280%. Up to now, there has been no situation where major shareholders of listed companies have closed their positions due to stock pledge repurchase business. In addition, the main participants in this business are shareholders of listed companies holding more than 5% of the shares. According to the "Several Provisions on Reducing Shares by Major Shareholders, Directors, Supervisors and Senior Executives of Listed Companies" (China Securities Regulatory Commission Announcement [2016] No. 1), the total number of shareholders of listed companies holding more than 5% of the shares through centralized bidding transactions on the stock exchange within 3 months shall not exceed 1% of the total number of shares of the company. Therefore, the breach of contract for this business is generally carried out through agreement transfer, bulk transactions or judicial transfer, and the impact on the market is limited.
Although the overall risk of this business is not large at present, it is also necessary to remind listed companies and relevant financial institutions to further improve risk management and control possible business risks.
2. Question: Recently, some media reported that some margin financing and securities lending customers closed their positions because they maintained the guarantee ratio below the closing line. What is the specific situation?
Answer: In the early stage, our association took leverage reduction measures such as raising the margin ratio for securities companies' margin financing and securities lending business. These measures played a positive role in preventing the risks of margin financing and securities lending business and protecting the legitimate rights and interests of investors. At present, the overall maintenance guarantee ratio of securities companies' margin financing and securities lending customers is much higher than the closing line, and the risks are generally controllable. As of January 14, 2016, the margin financing and securities lending balance was 1.01 trillion yuan, with an average maintenance guarantee ratio of about 250%. The total liabilities that maintain the guarantee ratio below the closing line (130%) were RMB 2.02 billion, accounting for 0.2% of all margin trading customers' liabilities. Moreover, some customers who touched the cordon or closing line have adopted additional collateral to avoid forced closing of positions. Since the beginning of this year, the average daily closing of margin trading business has been nearly 60 million yuan, down about 40% from last year. It accounts for a small proportion of the transaction volume in the entire market and has limited impact on the market.
3. Question: Some media reported that many people jointly reported the "2014 harvesting shrimp and shellfish harvest incident" in Zhanzidao, which was not due to natural disasters and was suspected of fraud in information disclosure. What measures have the regulatory authorities taken in this regard?
A: I will have paid attention to relevant media reports. Zhanzidao's "2014 harvesting incident" has attracted high attention from all parties in the market. In November 2014, our association conducted on-site inspection of the company. After verification, it was found that the company had false behaviors in the procurement and bottom sowing process of the Hokkaido scallop seedlings at the end of 2011. On December 5, 2014, the company announced the verification and handling of the company's "huge losses" incident to the public.
After this media report, the Shenzhen Stock Exchange immediately issued an inquiry letter, requiring the company to make a written explanation and disclose it to the public; I will immediately initiate the verification procedure and conduct an investigation on the relevant situation reflected in this media report. Once illegal and irregular information disclosure behaviors are found, they will be investigated and dealt with in accordance with the law.
At the same time, I will remind that various communication media must communicate securities market information in real and objective. No institution or individual may provide, disseminate false or misleading information. Once any institution or individual is found to use communication media to commit illegal and irregular activities such as insider trading, market manipulation, securities fraud, etc., I will investigate and deal with it in accordance with the law.
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Source: CCTV Finance (ID: CCTVyscj), China Securities Regulatory Commission released
