Shenzhen Stock Exchange cadres in advance of the layout of the PreIPO plus a fine of 499 million yuan

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Shenzhen Stock Exchange cadres in advance of the layout of the PreIPO plus a fine of 499 million yuan

2017-04-21 18:59:48 73 ℃

[Caixin] (reporter Liu Caiping, Cao Wenjiao)April 21st, the Commission spokesman Zhang Xiaojun at a regular press conference informed the Shenzhen Stock Exchange, deputy director of the Ministry of supervision and supervision of the original investigation and punishment of the facts of the case of young trees.

Zhang Xiaojun said, the central seventh inspection teams to the Commission during the visit, clues to the Commission before the transfer of the Shenzhen Stock Exchange staff Feng Xiaoshu suspected of illegal stock trading, the SFC Party Committee attaches great importance to the relevant clues, required to be a thorough investigation, after investigation and trial work, the Commission has identified Feng Xiaoshu on behalf of the shares of listed companies mother, spouse's sister, and obtain huge profits in the listed company after the listing of stocks, the cumulative transaction amount reached 251 million yuan, the profit amounted to 248 million yuan.

According to the securities law, the staff of the securities regulatory body within the term of office or within the statutory period, shall not directly or in the name of a pseudonym, in the name of another person to hold, buy and sell shares. A notice China Commission in September 2000 issued by the securities regulatory system is defined, all the staff and their spouses and children are not allowed to buy and sell stocks, in violation of the provisions of the deadline for rectification, or stop their spouses and children may conflict with the public interest to do business activities, or leading cadres I resign.

Zhang Xiaojun pointed out that Feng Xiaoshu as an important cadre, undertake the duty of supervision to break the law, in the name of others in the company listed before the assault shares, sell the stock after the listing of the acquisition of interests, in violation of the Securities Law on the Stock Exchange staff to prohibit the sale of stock, disrupting the capital market order, the Commission decided to confiscate the illegal income 248 million yuan, and the top grid fined 251 million yuan fine.

Feng Xiaoshu, former deputy director of the Commission gem supervision department, the former director of the Shenzhen Stock Exchange SME board management. In December 30, 2004, former deputy director of the trial supervision department of Shenzhen Office Feng tree Commission assumed office seventh iec. The commission can check the official website information display, Feng Xiaoshu participate in the review of Angelo, East Ocean, wohua medicine, Weihai Guangtai, Luyang shares, Thailand shares, China Merchants energy more than 29 companies starting applications.

Public information, Feng Xiaoshu worked in the Shenzhen Stock Exchange and the SFC has to be declared during the gem (SME) the first companies to do too much during the audit practice training in several journals "gem should concern to business enterprise", "gem issuance examination", "interpretation of laws and regulations concerned the trial points, improve the efficiency issue", "approval system under the stock issuance examination", "focus on 2007 fashenwei meeting rejected business case analysis" and other articles.

As everyone knows, in the Commission's administrative review system, has always been the core issue of the audit, the concentration of power in IPO audit supervision department issued the audit and re financing, financing and supporting major restructuring of the audit listed three links. Securities Regulatory Commission issued the Department, the first issuance of the audit committee to seize the weight, has been the hardest hit by the Commission's internal personnel illegal.

Back in 2004, Wang Xiaoshi, deputy director of the Ministry of Finance issued by the Issuance Examination Committee on suspicion of being taken away by prosecutors. One of the reasons why Wang Xiaoshi was taken away in 2003 Fengzhu (600493.SH) "over" in the process of selling the trial membership list, another reason is the bribery of public relations, to participate in the process of a listed company in Shenzhen issued convertible bonds.

Xiao Gang, former chairman of the Commission at the end of 2014, the report presented in 2014, the Commission on the four of the IEC members holding or trading stocks in violation of the provisions of the conversation reminder, after the end of term reappointment, and seriously deal with the motherboard issuance examination committee Deng Ruixiang using non-public information to trade behavior, decide to initiate on the investigation, and the dismissal of Deng Ruixiang sixteenth motherboard fashenwei member.

April 2015, the Commission informed, Hu Shihui due to serious violation of law was lifted sixth gem issuance examination committee. Hu Shihui served as a member of the fourth gem issuance Audit Committee since August 2012, then re elected. Hu Shihui checked the reason is that there is a benefit for others, accepting bribes and other issues

June 20, 2015, Li Zhiling, director of the Ministry of Supervision issued by the Commission involved in violation of the provisions of the sale of shares transferred to judicial investigation. Li Zhiling previously served as the level of the Department of the Ministry of industry for many years, mainly responsible for the financial audit of listed companies refinancing.

In December 2016 the Commission issued the original gem supervision department deputy director and director of Investor Protection Bureau Li Liang accept organization survey, the amount of Li is a senior cadres Commission issued regulatory field, who for many years in charge of issuing department and the Ministry of gem issue. According to the new financial reporter to understand the possibility of a case involving a controversial GEM companies listed.

Market participants have called for the realization of the real market from IPO to refinancing audit, from the value judgment to the information disclosure as the center. The Commission's commitment to reform should not only stay at the top of the mouth, also should be specific to the grassroots audit work, especially to prevent the first audit staff greedy for power straight right, difficult to rent, discount of reform measures. Li