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2022-01-02

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2021-06-20

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2021-06-20

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Heavy weekend! The China Securities Regulatory Commission enlarges its move: These 8 major behaviors will be banned from the market for life!

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The China Securities Regulatory Commission enlarges its move: These 8 major behaviors will be banned from the market for life!\n</h2>\n<h4 class=\"meta\">\n<a class=\"head\" href=\"https://laohu8.com/wemedia/6\">\n\n<div class=\"h-thumb\" style=\"background-image:url(https://static.tigerbbs.com/2b2c79a68beb44c7bc06ad7210091200);background-size:cover;\"></div>\n\n<div class=\"h-content\">\n<p class=\"h-name\">中国基金报 </p>\n<p class=\"h-time smaller\">2021-06-19 00:01</p>\n</div>\n</a>\n</h4>\n</header>\n<article>\n<p><div>After the identity market is banned, a new type of transaction market is banned; It is clear that the ban on trading is applicable to illegal acts that seriously disrupt the order of securities trading or the fairness of trading; It is clear that eight major behaviors such as serious violations of the law and adverse effects of letter disclosure will be banned from the market for life... On June 18, Gao Li, spokesperson of the China Securities Regulatory Commission, said at a regular press conference that in order to implement the new Securities Law and The new Administrative Punishment Law and other higher-level laws stipulated that the China Securities Regulatory Commission recently issued the revised Regulations on the Prohibition of Entry into the Securities Market (hereinafter referred to as the Regulations), which will come into effect on July 19, 2021. The Regulations further improve the securities market...</p><p><a href=\"None\">Web link</a></div></p>\n</article>\n</div>\n</body>\n</html>\n","type":0,"thumbnail":"https://static.tigerbbs.com/e0ab8365ea89ee143187cbf51d23ba8f","relate_stocks":{},"is_english":false,"share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","article_id":"2144701567","content_text":"在身份类市场禁入后，新增交易类市场禁入类型；明确交易类禁入适用于严重扰乱证券交易秩序或者交易公平的违法行为；明确信披严重违法造成恶劣影响等8大行为将被终身禁入市场……\n6月18日，证监会新闻发言人高莉在例行发布会上表示，为贯彻落实新《证券法》和新《行政处罚法》等上位法规定，证监会近日发布修订后的《证券市场禁入规定》（以下简称《规定》），自2021年7月19日起施行。\n《规定》进一步完善了证券市场禁入规则，相关违法违规责任人员将被“逐出市场”，大幅提高财务造假者的违法成本和监管的执法震慑作用。三大方面修订内容\n进一步明确市场禁入类型\n根据新《证券法》和新《行政处罚法》相关规定，证监会在总结近年行政执法实践基础上，对《证券市场禁入规定》（简称原《规定》）进行了修订，形成《证券市场禁入规定》修订稿。\n本次修订遵循“有限目标、问题导向、尊重历史、稳定预期”的思路，对根据上位法确有必要修订的内容进行完善。主要修订内容包括：\n一是进一步明确市场禁入类型。\n根据新《证券法》将证券市场禁入措施分为“不得从事证券业务、证券服务业务，不得担任证券发行人的董事、监事、高级管理人员”（以下简称身份类禁入）以及“不得在证券交易所、国务院批准的其他全国性证券交易场所（以下统称证券交易场所）交易证券”（以下简称交易类禁入）两类，执法单位可以结合实际，选择单独适用或者合并适用相匹配的禁入类型。\n其中，身份类禁入沿用原《规定》的禁入措施，而交易类禁入属于新增措施。\n二是进一步明确交易类禁入适用规则。\n考虑到交易类禁入为新《证券法》增加的一类禁入措施，具有不同于身份类禁入的特殊性，证监会在充分借鉴境内外经验基础上，审慎确定了相关适用规则。即，对交易类禁入仅设置5年期限上限，在5年期限上限内，执法单位可根据实际违法情况采取与之匹配的禁入期限，以便于应对复杂多样的违法实际，确保该项制度平稳起步。\n同时，做好政策衔接和风险防控，对7类情形作出了除外规定，避免不同政策叠加碰头和引发执法次生风险。根据上述条文规定，有关责任人员被责令依法买回证券、被责令依法处理非法持有的证券、持有的证券被依法强制扣划或转让等情形作了例外规定。\n而为了防控市场风险，一方面，为避免因交易无法了结引发信用风险，将信用类交易业务纳入禁止交易的除外情形；另一方面，允许投资者卖出被禁入前已经持有的证券，大股东、实控人和董监高等如果被采取交易类禁入措施，仍可依法卖出被禁入前持有的股票，但是需要符合法律、行政法规、中国证监会以及各证券交易场所关于股份减持的相关规定，以避免发生“处置风险的风险”。\n三是进一步明确市场禁入对象和适用情形。\n根据近年来市场发展变化的现实情况，完善了禁入对象的涵盖范围。适用情形方面，明确将信息披露严重违法造成恶劣影响的情况列入终身禁入市场情形，同时，明确交易类禁入适用于严重扰乱证券交易秩序或者交易公平的违法行为。\n其中，《规定》将被人民法院生效司法裁判认定构成犯罪等8大情形，可以对有关责任人员终身采取证券市场禁入措施（注：身份类禁入）。此外，《规定》还进一步明确了相关语言表述含义、不履行市场禁入决定的后果以及新老规定实施的过渡期安排等内容。\n五年近300人次遭市场禁入\n执法力度显著提升\n事实上，在2015 年原《规定》实施后，证券市场禁入的执法力度显著增强，覆盖的违法行为类型更为全面，执法程序更加透明规范。近年来的执法实践证明，原《规定》总体是符合我国市场实际、行之有效的，市场禁入执法力度显著提升，市场禁入也覆盖了资本市场各主要违法行为类型，提升了执法的威慑力度。\n据证监会公示数据显示，2016年至2020年，共对298人次的自然人采取市场禁入。分年限看，其中3至5年和5至10年两档次市场禁入共计216人次，占比约72%；终身市场禁入82人次，占比约28%，采取市场禁入人次数比原《规定》 修订前5年增长142%，并且市场禁入的严厉程度较好匹配了实践中不同危害情节违法行为的发生频度。\n总体分析，原《规定》对监管部门以“零容忍”的态度依法从严打击相关违法违规责任人员提供了有力制度保障。\n另一方面，市场禁入已经覆盖了资本市场各主要违法行为类型，特别是对信息披露违法相关责任人员进行了“逐出市场”的有力打击，提高了财务造假者的违法成本和执法震慑作用，取得了较好的效果。数据显示，在2016年至2020年期间，内幕交易类违法市场禁入17人次，市场操纵类违法市场禁入26人次，信息披露类违法市场禁入191人次，从业人员违法类市场禁入21人次，其他违法类案件市场禁入43人次。\n证监会新闻发言人高莉表示，下一步，证监会将按照党中央、国务院关于对资本市场违法违规行为“零容忍”的要求，落实好新《证券法》、新《行政处罚法》和《规定》相关内容，依法严厉打击各类资本市场违法违规行为，把“严”的执法主基调长期坚持下去，同时加大与司法机关协调配合力度，综合运用民事、行政和刑事追责手段进一步提高违法违规成本，为资本市场更好服务于构建新发展格局提供坚强执法保障。","news_type":1,"symbols_score_info":{}},"isVote":1,"tweetType":1,"viewCount":1671,"authorTweetTopStatus":1,"verified":2,"comments":[],"imageCount":0,"langContent":"EN","totalScore":0}],"hots":[{"id":165694834,"gmtCreate":1624122230128,"gmtModify":1703829123736,"author":{"id":"3585581924316851","authorId":"3585581924316851","name":"SIACHIEWCHAI","avatar":"https://static.tigerbbs.com/c976c3aba0c971a3ee90ae190cd31bd0","crmLevel":11,"crmLevelSwitch":1,"followedFlag":false,"idStr":"3585581924316851","authorIdStr":"3585581924316851"},"themes":[],"htmlText":"Hi","listText":"Hi","text":"Hi","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":2,"commentSize":0,"repostSize":0,"link":"https://ttm.financial/post/165694834","repostId":"2143801764","repostType":4,"isVote":1,"tweetType":1,"viewCount":1992,"authorTweetTopStatus":1,"verified":2,"comments":[],"imageCount":0,"langContent":"EN","totalScore":0},{"id":165692737,"gmtCreate":1624122113429,"gmtModify":1703829121786,"author":{"id":"3585581924316851","authorId":"3585581924316851","name":"SIACHIEWCHAI","avatar":"https://static.tigerbbs.com/c976c3aba0c971a3ee90ae190cd31bd0","crmLevel":11,"crmLevelSwitch":1,"followedFlag":false,"idStr":"3585581924316851","authorIdStr":"3585581924316851"},"themes":[],"htmlText":"Hi","listText":"Hi","text":"Hi","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":1,"commentSize":0,"repostSize":0,"link":"https://ttm.financial/post/165692737","repostId":"2144701567","repostType":4,"repost":{"id":"2144701567","kind":"news","weMediaInfo":{"introduction":"关注中国基金报，即时获取深度理财资讯","home_visible":1,"media_name":"中国基金报","id":"6","head_image":"https://static.tigerbbs.com/2b2c79a68beb44c7bc06ad7210091200"},"pubTimestamp":1624032060,"share":"https://ttm.financial/m/news/2144701567?lang=en_US&edition=fundamental","pubTime":"2021-06-19 00:01","market":"hk","language":"zh","title":"Heavy weekend! The China Securities Regulatory Commission enlarges its move: These 8 major behaviors will be banned from the market for life!","url":"https://stock-news.laohu8.com/highlight/detail?id=2144701567","media":"中国基金报","summary":"　　在身份类市场禁入后，新增交易类市场禁入类型；明确交易类禁入适用于严重扰乱证券交易秩序或者交易公平的违法行为；明确信披严重违法造成恶劣影响等8大行为将被终身禁入市场……　　6月18日，证监会新闻发言人高莉在例行发布会上表示，为贯彻落实新《证券法》和新《行政处罚法》等上位法规定，证监会近日发布修订后的《证券市场禁入规定》，自2021年7月19日起施行。","content":"<p><div>After the identity market is banned, a new type of transaction market is banned; It is clear that the ban on trading is applicable to illegal acts that seriously disrupt the order of securities trading or the fairness of trading; It is clear that eight major behaviors such as serious violations of the law and adverse effects of letter disclosure will be banned from the market for life... On June 18, Gao Li, spokesperson of the China Securities Regulatory Commission, said at a regular press conference that in order to implement the new Securities Law and The new Administrative Punishment Law and other higher-level laws stipulated that the China Securities Regulatory Commission recently issued the revised Regulations on the Prohibition of Entry into the Securities Market (hereinafter referred to as the Regulations), which will come into effect on July 19, 2021. The Regulations further improve the securities market...</p><p><a href=\"None\">Web link</a></div></p>","collect":0,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>Heavy weekend! The China Securities Regulatory Commission enlarges its move: These 8 major behaviors will be banned from the market for life!</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 12.5px; color: #7E829C; margin: 0;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nHeavy weekend! The China Securities Regulatory Commission enlarges its move: These 8 major behaviors will be banned from the market for life!\n</h2>\n<h4 class=\"meta\">\n<a class=\"head\" href=\"https://laohu8.com/wemedia/6\">\n\n<div class=\"h-thumb\" style=\"background-image:url(https://static.tigerbbs.com/2b2c79a68beb44c7bc06ad7210091200);background-size:cover;\"></div>\n\n<div class=\"h-content\">\n<p class=\"h-name\">中国基金报 </p>\n<p class=\"h-time smaller\">2021-06-19 00:01</p>\n</div>\n</a>\n</h4>\n</header>\n<article>\n<p><div>After the identity market is banned, a new type of transaction market is banned; It is clear that the ban on trading is applicable to illegal acts that seriously disrupt the order of securities trading or the fairness of trading; It is clear that eight major behaviors such as serious violations of the law and adverse effects of letter disclosure will be banned from the market for life... On June 18, Gao Li, spokesperson of the China Securities Regulatory Commission, said at a regular press conference that in order to implement the new Securities Law and The new Administrative Punishment Law and other higher-level laws stipulated that the China Securities Regulatory Commission recently issued the revised Regulations on the Prohibition of Entry into the Securities Market (hereinafter referred to as the Regulations), which will come into effect on July 19, 2021. The Regulations further improve the securities market...</p><p><a href=\"None\">Web link</a></div></p>\n</article>\n</div>\n</body>\n</html>\n","type":0,"thumbnail":"https://static.tigerbbs.com/e0ab8365ea89ee143187cbf51d23ba8f","relate_stocks":{},"is_english":false,"share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","article_id":"2144701567","content_text":"在身份类市场禁入后，新增交易类市场禁入类型；明确交易类禁入适用于严重扰乱证券交易秩序或者交易公平的违法行为；明确信披严重违法造成恶劣影响等8大行为将被终身禁入市场……\n6月18日，证监会新闻发言人高莉在例行发布会上表示，为贯彻落实新《证券法》和新《行政处罚法》等上位法规定，证监会近日发布修订后的《证券市场禁入规定》（以下简称《规定》），自2021年7月19日起施行。\n《规定》进一步完善了证券市场禁入规则，相关违法违规责任人员将被“逐出市场”，大幅提高财务造假者的违法成本和监管的执法震慑作用。三大方面修订内容\n进一步明确市场禁入类型\n根据新《证券法》和新《行政处罚法》相关规定，证监会在总结近年行政执法实践基础上，对《证券市场禁入规定》（简称原《规定》）进行了修订，形成《证券市场禁入规定》修订稿。\n本次修订遵循“有限目标、问题导向、尊重历史、稳定预期”的思路，对根据上位法确有必要修订的内容进行完善。主要修订内容包括：\n一是进一步明确市场禁入类型。\n根据新《证券法》将证券市场禁入措施分为“不得从事证券业务、证券服务业务，不得担任证券发行人的董事、监事、高级管理人员”（以下简称身份类禁入）以及“不得在证券交易所、国务院批准的其他全国性证券交易场所（以下统称证券交易场所）交易证券”（以下简称交易类禁入）两类，执法单位可以结合实际，选择单独适用或者合并适用相匹配的禁入类型。\n其中，身份类禁入沿用原《规定》的禁入措施，而交易类禁入属于新增措施。\n二是进一步明确交易类禁入适用规则。\n考虑到交易类禁入为新《证券法》增加的一类禁入措施，具有不同于身份类禁入的特殊性，证监会在充分借鉴境内外经验基础上，审慎确定了相关适用规则。即，对交易类禁入仅设置5年期限上限，在5年期限上限内，执法单位可根据实际违法情况采取与之匹配的禁入期限，以便于应对复杂多样的违法实际，确保该项制度平稳起步。\n同时，做好政策衔接和风险防控，对7类情形作出了除外规定，避免不同政策叠加碰头和引发执法次生风险。根据上述条文规定，有关责任人员被责令依法买回证券、被责令依法处理非法持有的证券、持有的证券被依法强制扣划或转让等情形作了例外规定。\n而为了防控市场风险，一方面，为避免因交易无法了结引发信用风险，将信用类交易业务纳入禁止交易的除外情形；另一方面，允许投资者卖出被禁入前已经持有的证券，大股东、实控人和董监高等如果被采取交易类禁入措施，仍可依法卖出被禁入前持有的股票，但是需要符合法律、行政法规、中国证监会以及各证券交易场所关于股份减持的相关规定，以避免发生“处置风险的风险”。\n三是进一步明确市场禁入对象和适用情形。\n根据近年来市场发展变化的现实情况，完善了禁入对象的涵盖范围。适用情形方面，明确将信息披露严重违法造成恶劣影响的情况列入终身禁入市场情形，同时，明确交易类禁入适用于严重扰乱证券交易秩序或者交易公平的违法行为。\n其中，《规定》将被人民法院生效司法裁判认定构成犯罪等8大情形，可以对有关责任人员终身采取证券市场禁入措施（注：身份类禁入）。此外，《规定》还进一步明确了相关语言表述含义、不履行市场禁入决定的后果以及新老规定实施的过渡期安排等内容。\n五年近300人次遭市场禁入\n执法力度显著提升\n事实上，在2015 年原《规定》实施后，证券市场禁入的执法力度显著增强，覆盖的违法行为类型更为全面，执法程序更加透明规范。近年来的执法实践证明，原《规定》总体是符合我国市场实际、行之有效的，市场禁入执法力度显著提升，市场禁入也覆盖了资本市场各主要违法行为类型，提升了执法的威慑力度。\n据证监会公示数据显示，2016年至2020年，共对298人次的自然人采取市场禁入。分年限看，其中3至5年和5至10年两档次市场禁入共计216人次，占比约72%；终身市场禁入82人次，占比约28%，采取市场禁入人次数比原《规定》 修订前5年增长142%，并且市场禁入的严厉程度较好匹配了实践中不同危害情节违法行为的发生频度。\n总体分析，原《规定》对监管部门以“零容忍”的态度依法从严打击相关违法违规责任人员提供了有力制度保障。\n另一方面，市场禁入已经覆盖了资本市场各主要违法行为类型，特别是对信息披露违法相关责任人员进行了“逐出市场”的有力打击，提高了财务造假者的违法成本和执法震慑作用，取得了较好的效果。数据显示，在2016年至2020年期间，内幕交易类违法市场禁入17人次，市场操纵类违法市场禁入26人次，信息披露类违法市场禁入191人次，从业人员违法类市场禁入21人次，其他违法类案件市场禁入43人次。\n证监会新闻发言人高莉表示，下一步，证监会将按照党中央、国务院关于对资本市场违法违规行为“零容忍”的要求，落实好新《证券法》、新《行政处罚法》和《规定》相关内容，依法严厉打击各类资本市场违法违规行为，把“严”的执法主基调长期坚持下去，同时加大与司法机关协调配合力度，综合运用民事、行政和刑事追责手段进一步提高违法违规成本，为资本市场更好服务于构建新发展格局提供坚强执法保障。","news_type":1,"symbols_score_info":{}},"isVote":1,"tweetType":1,"viewCount":1671,"authorTweetTopStatus":1,"verified":2,"comments":[],"imageCount":0,"langContent":"EN","totalScore":0},{"id":9001918945,"gmtCreate":1641139191077,"gmtModify":1676533575460,"author":{"id":"3585581924316851","authorId":"3585581924316851","name":"SIACHIEWCHAI","avatar":"https://static.tigerbbs.com/c976c3aba0c971a3ee90ae190cd31bd0","crmLevel":11,"crmLevelSwitch":1,"followedFlag":false,"idStr":"3585581924316851","authorIdStr":"3585581924316851"},"themes":[],"htmlText":"Hi hi","listText":"Hi hi","text":"Hi hi","images":[],"top":1,"highlighted":1,"essential":1,"paper":1,"likeSize":0,"commentSize":0,"repostSize":0,"link":"https://ttm.financial/post/9001918945","isVote":1,"tweetType":1,"viewCount":1951,"authorTweetTopStatus":1,"verified":2,"comments":[],"imageCount":0,"langContent":"EN","totalScore":0}],"lives":[]}