A week to understand what the SFC said

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A week to understand what the SFC said

2017-03-19 06:34:21 44 ℃

Yesterday, the Commission briefing, important information to share with you to share:

Commission: soybean meal and sugar options trading time to determine

Commission spokesman Deng Ge 17, said at a regular press conference, after careful preparation, soybean meal and sugar options trading before the listing has been completed. Among them, the soybean meal options trading will be listed on the big business in March 31st, sugar options trading will be listed on the April 19th Zheng trading.

Commission: the first single The Belt and Road Panda Bonds issued

Commission spokesman Deng Ge said at a regular press conference on the 17 day, recently the first single The Belt and Road Panda Bonds issued.

He explained that in March 14th the Russian Aluminum Corporation in the Shanghai Stock Exchange to complete the first single panda bond issue, the first phase of 1 billion yuan. It is reported that this is Russia's large backbone enterprises issued the first Panda Bonds in China, is The Belt and Road countries along the first issue of bonds.

Deng Ge said the move to further expand the The Belt and Road financial cooperation between countries along the way, the Commission will further deepen the exchange market opening to the outside world, and actively promote the capital market to better serve the construction of The Belt and Road.

Securities Regulatory Commission approved the Securities Industry Association issued a corporate bond trustee to deal with corporate bonds default risk guidelines

Commission spokesman Deng Ge said 17 days, the Commission approved the China Securities Industry Association issued a "corporate bond trustee dispose of corporate bond default risk guidelines", the guidelines for a total of 5 chapters 27, including general principles, emergency management mechanism, expected default disposal, substantial breach disposal, the main contents of the supplementary articles.

Deng Ge said that after the release of the guidelines, corporate bond trustee should establish relevant management system as soon as possible, and strictly enforced. Next, the Commission and the China Securities Regulatory Commission will be in accordance with the law to strengthen the construction of corporate debt risk prevention and risk management mechanism to promote the healthy development of the corporate bond market.

Commission to carry out the second batch of national securities and futures investor education base to declare the naming of the work

Commission spokesman Deng Ge said at a regular press conference on the 17 day, the Commission will soon carry out the second batch of national securities and futures investor education base declaration named work, from March 30th onwards accepted the declaration materials, as of June 30th, after the deadline will not be accepted, the application materials submitted to the Commission for investor protection bureau.

Commission: 2017 will further screening all kinds of illegal cases

Commission spokesman Deng Ge said on the 17 day of 2017, the Commission before the special enforcement action for the overall deployment. Over the past year, the market for illegal multiple, high market risk deepened, aggravated the situation, the Commission inspection and law enforcement departments to achieve by the case to case, from individual to collaborative law enforcement changes in the law enforcement work mode, through centralized allocation of power, the continuous conduction pressure regulation, law enforcement has achieved obvious effect.

Deng Ge said that in 2017 the Commission special enforcement action will strike in misrepresentation, market manipulation, insider trading and other traditional illegal cases at the same time, further comprehensive screening of all kinds of illegal cases, including the following four categories:

A case is related to market risk prevention, including the use of structured information management products, using a variety of financing channels using a large number of accounts seriously harm the stability of the market manipulation behavior; illegal behavior has the possibility of Risk Spillover in the bond market and private equity fund; public or public issuance of disguised illegal behavior.

The two is the focus of media attention, the market hot cases, including restructuring not to perform the information disclosure obligation of illegal acts, the process of transfer of shares in series theme, illegal acts of telling a story, the stock market black mouth behavior fabricated and spread false information.

Three is the impact of market reform and development case, including the construction process, multi-level market financing and mergers and acquisitions reform, futures Derivatives Innovation, such as opening up, illegal acts of illegal operation, to avoid regulation, disrupt the market order.

Four other major fraud cases, including corporate bonds listing and refinancing process of illegal financial fraud, and repeatedly engaged in habitual criminal behavior of market manipulation, insider trading, etc..

Deng Ge said that in 2017 the special enforcement action would be faster to do a thorough investigation, the formation of law enforcement, the Commission audit department will also focus on strengthening the following work: to broaden the way of strengthening the investigation found illegal clues, mode of organization, optimize the collaborative work mechanism of law enforcement, law enforcement and publicity play warning function. Next, the Commission will be based on the progress of the special law enforcement, batches informed case investigation.

Commission on 5 cases of administrative penalties

Commission spokesman Deng Ge on the 17 day of the regular press conference that the Commission, recently, the Commission made the punishment of 5 cases, including 1 disclosure of insider information and insider trading, market manipulation 2 cases, 1 cases of legal use of other account trading securities act, 1 cases of illegal securities cases of employees.

Among them, the insider information leaked case Wang Jiangsu Thorpe to be a major asset restructuring of insider information, because Zhao and Wang repeatedly linked informed insider information and engage in stock trading, no illegal income, two people were Jiangsu Securities Regulatory Bureau fined 40 thousand yuan.

2 in the case of market manipulation, dragon asset control 6 securities accounts, boost the Guangzhou Automobile Group, did not sell, no illegal income, the Guangdong Securities Regulatory Bureau fined 3 million yuan of assets to the King Dragon, somewhere with a warning and a fine of 300 thousand yuan. At the same time, Liu in August 10, 2015 to buy 20 million large group of Guangzhou Automobile Trading Group, during the manipulation of the sale of more than 11 million 580 thousand shares, no illegal income. Guangdong Securities Regulatory Commission imposed a fine of 300 thousand yuan.

1 cases of legal use of other account trading securities in the case, Hunan Jiayu industry has the use of Hu 3 under the name of 14 securities account transactions, the Great Wall film and other dozens of East China Science and technology stocks, given increased participation of Guodong Construction stocks, no illegal income, by the Commission fined 240 thousand yuan, executives were sentenced a warning and a fine of 80 thousand yuan.

Practitioners of illegal trading case, the parties in Ping An Securities, Qilu Securities, Huatai investment bank department office, has the use of others China safe, sunwoda account transactions and other stocks, no illegal income, the Shenzhen Securities Regulatory Bureau fined 100 thousand yuan.