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class="contant_model"> <div class="contant_c contant_c_clear"> <h2 class="title contant_blue">“投资者保护•明规则、识风险”系列案例一</h2> <div class="contArticle"> <span>作者:佚名</span> <span>来源åQšæœ¬ç«™æ•´ç?/span> <span>发布旉™—´åQ?017òq?6æœ?1æ—?/span> <span>点击敎ͼš <script language="JavaScript" type="text/JavaScript" src="/Common/GetHits.aspx?id=8683"></script> </span> <span>ã€?a href="/User/Content/Favorite.aspx?Action=add&Id=8683">收藏</a>ã€?/span> <span>ã€?a href="/Print.aspx?id=8683">打印文章</a>ã€?/span> </span> <span><span id="content_AdminEdit"></span> <script type="text/javascript"> function CheckAdminStatus(id) { var x=new AjaxRequest('XML',''); x.para = ['itemId='+id]; x.post('admineditcheck','/ajax.aspx',function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; if(status=='OK') { var managedir = "/Common/GetContentEdit.aspx?itemId=8683" ; document.getElementById("content_AdminEdit").innerHTML = "ã€?a href='" + managedir + "' target='_blank'>˜q›å…¥åŽå°¾~–辑</a>ã€?; } }); } CheckAdminStatus(8683); </script></span> <span> <span id="content_signin"></span><span id="content_SigninAjaxStatus"></span> <script type="text/javascript"> function GetContentSigninStatus(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('GetContentSigninStatus', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "NoSignin": break; case "NoLogin": break; case "AutoSignin": var time = xml.getElementsByTagName("time")[0].firstChild.data; AutoSigninContent(id,time); break; case "NormalSignin": document.getElementById("content_signin").innerHTML = "ã€?span style='cursor: pointer;' onclick=\"SigninContent('"+id+"')\" >点击½{¾æ”¶</span>ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; } }); } function AutoSigninContent(id,time) { var secs = time; var wait = secs * 1000; document.getElementById("content_signin").innerHTML = "【自动签收[" + secs +"]¿U’ã€?; for(i = 1; i <= secs; i++) { window.setTimeout("UpdateAutoSigninTime(" + i + "," + secs + ")", i * 1000); } window.setTimeout("SigninContent('"+id+"')", wait); } function UpdateAutoSigninTime(number,wait) { printnr = wait - number; document.getElementById("content_signin").innerHTML = "【自动签收[" + printnr +"]¿U’ã€?; } function SigninContent(id) { var x = new AjaxRequest('XML','content_SigninAjaxStatus'); x.para = ['itemId='+id]; x.post('SigninContent', '/ajax.aspx', function(s) { var xml = x.createXmlDom(s); var status = xml.getElementsByTagName("status")[0].firstChild.data; document.getElementById("content_SigninAjaxStatus").style.display = "none"; switch (status) { case "Signined": document.getElementById("content_signin").innerHTML = "【已½{¾æ”¶ã€?; break; case "NotSignined": document.getElementById("content_signin").innerHTML = "【签收失败ã€?; break; case "SigninOutTime": document.getElementById("content_signin").innerHTML = "【已˜q‡ç­¾æ”¶æˆªæ­¢æ—¶é—´ã€?; break; } } ); } GetContentSigninStatus('8683'); </script></span> </div> <div class="c_content_text"> <div class="c_content_overflow" id="fontzoom"> <p> </p> <p> </p> <p><span style="font-size:20px;">  案例1åQ?ldquo;枕边é£?rdquo;炒股¼œ¨å½“心被处罚</span></p> <p><span style="font-size:20px;">  内幕交易是指证券交易内幕信息的知情äh和非法获取内òq•ä¿¡æ¯çš„人在内幕信息公开前,买卖该证券,或者泄露该信息åQŒæˆ–者徏议他äºÞZ¹°å–该证券的违法行为,在实践中å…ähœ‰å¤šç§è¡¨çŽ°å½¢å¼åQ?ldquo;枕边é£?rdquo;内幕交易便是其中一¿Uã€‚比如下面这两个ž®æ•…事:</span></p> <p><span style="font-size:20px;">  上市公司H因筹划非公开发行股票停牌åQŒå…¶æŽ§è‚¡è‚¡ä¸œZ公司董事臧某的妻子陈某在停牌前买å…?万股“H”åQŒå–出后获利7.3万元ã€?/span></p> <p><span style="font-size:20px;">  上市公司Y因筹划非公开发行股票停牌åQŒä¸»åŠžåˆ¸å•†Z证券工作人员余某的妻子叶某在停牌前买å…?.3万股“Y”,卖出后获利共è®?.7万元ã€?/span></p> <p><span style="font-size:20px;">  ˜q™ä¸¤ä¸ªæ•…事中åQŒH公司控股股东Z公司的董事臧某、Z证券工作人员余某都是《证券法》规定的证券交易内幕信息的知情ähåQŒä»–们的å¦Õd­åœ¨å†…òq•ä¿¡æ¯æ•æ„ŸæœŸå†?ldquo;¼„°åéy”ä¹îCº†ä¸Žè¿™äº›ä¿¡æ¯æœ‰å…³çš„股票。按照《证券法》七十三条、七十六条的规定åQŒå†…òq•ä¿¡æ¯çŸ¥æƒ…äh和非法获取内òq•ä¿¡æ¯çš„人,在内òq•ä¿¡æ¯å…¬å¼€å‰ï¼Œä¸å¾—买卖该公司的证券。《最高äh民法院、最高äh民检察院关于办理内幕交易、泄露内òq•ä¿¡æ¯åˆ‘事案件具体应用法律若òq²é—®é¢˜çš„解释》第二条å¯ÒŽ­¤ä¹Ÿä½œäº†æ˜Ž¼‹®è§„定,包括内幕信息知情人员的近亲属或者其他与内幕信息知情人员关系密切的äh员,在内òq•ä¿¡æ¯æ•æ„ŸæœŸå†…买卖了与该内幕信息有关的股¼œ¨ï¼Œäº¤æ˜“è¡Œäؓ明显异常åQŒä¸”无正当理由或者正当信息来源的åQŒæž„成内òq•äº¤æ˜“。尽½Ž¡è¢«å¤„罚的äh都辩解称没有利用相关信息åQŒä½†ç“œç”°æŽä¸‹çš„事˜q˜æ˜¯ä¸è¦åšï¼Œåšäº†ž®±é€ƒä¸å¼€æ³•å¾‹çš„惩¾|šã€‚这也提醒内òq•ä¿¡æ¯çŸ¥æƒ…ähåQŒä¾‹å¦‚上市公司董事、监事、高¾U§ç®¡ç†äh员,ç”׃ºŽèŒåŠ¡æˆ–工作原因知悉内òq•ä¿¡æ¯çš„证券公司、律师事务所、会计师事务所½{‰ä¸­ä»‹æœºæž„从业äh员等åQŒä¸€å®šè¦å®ˆä½èŒä¸šé“å¯d的红¾U¿å’Œæ³•å¾‹è§„定的底¾U¿ï¼Œ½Ž¡å¥½“枕边äº?rdquo;ã€?ldquo;íw«è¾¹äº?rdquo;åQŒä¸åšèµ„本市场的“老鼠”ã€?/span></p> <p><span style="font-size:20px;">  好多äºÞZ»¥ä¸ºå°±æ˜¯æ‰“探或者听个消息,不太当回事,但内òq•äº¤æ˜“是一¿Uä¸¥é‡çš„˜qæ³•è¡ŒäؓåQŒæ³•å¾‹è§„定了严厉的制裁措施,不仅赚了é’Þp¦æ²¡æ”¶˜qæ³•æ‰€å¾—,òq¶å¤„以违法所得一倍以上五倍以下的¾|šæ¬¾åQŒæ²¡èµšåˆ°é’Þq”šè‡³äºäº†ä¹Ÿè¦å¤„以三万元以上六十万元以下的罚‹Æ¾ã€‚如果情节严重,比如证券交易成交金额累计在五十万元以上,或者获åˆ?避免损失)数额累计在十五万元以上的˜q˜å°†æž„成内幕交易¾|ªï¼Œè¢«è¿½½I¶åˆ‘事责仅R€‚当òq´çš„首富黄光裕就是因为内òq•äº¤æ˜“èín陷囹圄,至今˜q˜åœ¨ç‹×ƒ¸­ã€?/span></p> <p><span style="font-size:20px;">  另外åQŒè¿™å¯¹äºŽòq¿å¤§æŠ•èµ„者也å…ähœ‰æ·±åˆ»çš„è­¦½Cºæ„ä¹‰ã€‚不要试囑֎»æ‰“探ž®é“消息、听信内òq•ä¿¡æ¯ï¼Œå…¶ä¸­åŒ…含了巨大的法律风险和投资风险。试惻I¼Œå¦‚果打探来的消息是真的,ž®±å¯èƒ½æž„成违法甚至犯¾|ªï¼Œå¦‚果是假消息åQŒé‚£æ›´æ˜¯å¾—不偿失åQŒè‚¯å®šåˆä¸­äº†å“ªä¸ª“害äh¾_?rdquo;的圈套,被卖了还在帮人家数钱ã€?/span></p> <p><span style="font-size:20px;">  案例2åQšå°Šå¸ˆé‡é“有æ–ÒŽ³• 勿以“内幕”报师æ?/span></p> <p><span style="font-size:20px;">  资äñ”重组、资产注入、收购资产等上市公司的重大投资行为和重大财äñ”处置军_®šåQŒå¾€å¾€è¢«èµ„本市åœø™§£è¯ÖMؓ重大利好消息。不ž®‘投资者喜‹Æ¢æ‰“听此¾cÀL¶ˆæ¯ï¼Œè®¤äؓ依靠˜q™äº›æ‰€è°“çš„“内幕消息”炒股ž®±å¯ä»¥èŽ·å¾—巨额收益。但实际上,内幕交易不仅未必能够盈利åQŒå†…òq•äº¤æ˜“本íw«æ›´æ˜¯æ³•å¾‹æ‰€¼›æ­¢çš„行为ã€?/span></p> <p><span style="font-size:20px;">  某大学教授宋某就在一起内òq•äº¤æ˜“中付出了巨大代仗÷€‚ä»–æ ÒŽ®è‡ªå·±ä»¥å‰çš„学生陈某掌握的内幕信息买股¼œ¨ï¼Œä¸ä½†æ²¡æœ‰èµšé’±åQŒåè€ŒäºæŸäº†41万余元,òq¶ä¸”最¾lˆå—åˆîCº†è¯ç›‘会的严厉处罚ã€?/span></p> <p><span style="font-size:20px;">  陈某为G公司的åƈ购重¾l„项目做中介åQŒå®‹æŸä¸Žé™ˆæŸç”µè¯è”系之后åQŒåœ¨å…¬å¸è‚¡ç¥¨åœç‰Œå‰ï¼Œä¹°å…¥93.1万股G公司股票åQŒä­h值约716.3万元。虽然宋某在G公司股票停牌之前ž®±æŠ¢å…?ldquo;潜伏”˜q›åŽ»åQŒä½†ä¸‡ä¸‡æ²¡æœ‰æƒ›_ˆ°çš„是åQŒäº¤æ˜“双方因未能在重要事™å¹ä¸Šè¾¾æˆä¸€è‡´æ„è§ï¼Œå†›_®š¾lˆæ­¢æ­¤æ¬¡é‡ç»„事项。由于市场所预期的重大重¾l„事™å¹ä¸äº†äº†ä¹‹ï¼Œå¤ç‰ŒåŽï¼Œè¯¥è‚¡¼œ¨ä­h格受挫,宋某卖出后,亏损41万余元ã€?/span></p> <p><span style="font-size:20px;">  ž®Šå¸ˆé‡é“有方法,勿以“内幕”报师恩。师恩未报,却让老师赔了钱。不仅如此,宋某的行ä¸ø™¿˜˜qåäº†ã€Šè¯åˆ¸æ³•ã€‹å…³äºŽç¦æ­¢å†…òq•äº¤æ˜“è¡Œä¸ø™§„定,éšùN€ƒæ³•å¾‹çš„制裁。按照《证券法》七十三条、七十六条的规定åQŒå†…òq•ä¿¡æ¯çŸ¥æƒ…äh和非法获取内òq•ä¿¡æ¯çš„人,在内òq•ä¿¡æ¯å…¬å¼€å‰ï¼Œä¸å¾—买卖该公司的证券。《最高äh民法院、最高äh民检察院关于办理内幕交易、泄露内òq•ä¿¡æ¯åˆ‘事案件具体应用法律若òq²é—®é¢˜çš„解释》第二条也规定,在内òq•ä¿¡æ¯æ•æ„ŸæœŸå†…,与内òq•ä¿¡æ¯çŸ¥æƒ…äh员联¾lœã€æŽ¥è§¦ï¼Œä»Žäº‹ä¸Žè¯¥å†…幕信息有关的证åˆæ€º¤æ˜“,相关交易行äؓ明显异常åQŒä¸”无正当理由或者正当信息来源的åQŒå±žäºŽå†…òq•äº¤æ˜“。根据《证券法》第二百零二条的规定åQŒå®‹æŸè¢«å¤„以60万元¾|šæ¬¾å’?0òq´è¯åˆ¸å¸‚场禁入措施ã€?/span></p> <p><span style="font-size:20px;">  ˜q™ä¸ªæ•…事告诉投资者,不要è½ÀL˜“ç›æ€¿¡æœ‰å…³äººå‘˜æ‰€è°“çš„“内幕信息”åQŒæ›´ä¸è¦ä¸ÕdŠ¨å‘有关äh员打听此¾cÀL¶ˆæ¯ã€‚èåN然买入此¾c»è‚¡¼œ¨ï¼Œæ—¢æœ‰é•¿æ—¶é—´åœç‰Œçš„风险åQŒä¹Ÿæœ‰èµ„产重¾l„失败的风险。更ä¸ÞZ¸¥é‡çš„是,此类对公司股¼œ¨ä­h格具有重大媄响的“内幕信息”是不能提前泄露的åQŒå‘内幕信息知情人打听此¾cÖM¿¡æ¯ï¼Œåˆ©ç”¨è¯¥ä¿¡æ¯ä¹°å–è‚¡¼œ¨çš„è¡Œäؓ本èínž®±æ˜¯˜qæ³•è¡ŒäؓåQŒä¸½Ž¡æœ€¾lˆæ˜¯å¦ç›ˆåˆ©éƒ½ž®†å—到法律的制裁。因此,投资者要特别注意“内幕消息”中蕴含的投资风险和法律风险,不要½Ž€å?ldquo;听消æ?rdquo;ã€?ldquo;听故äº?rdquo;ž®×ƒ¹°å…¥æ‰€è°“资产重¾l„的股票åQŒæ›´ä¸èƒ½åƒæ–¹ç™¾è®¡æ‰“听“内幕消息”˜q›è¡Œå†…幕交易åQŒè¿˜æ˜¯åº”当坚持ä­h值投资,树立正确的投资理念:真正的好股票不是所谓的“消息è‚?rdquo;ã€?ldquo;概念è‚?rdquo;åQŒè€Œæ˜¯é‚£äº›å…ähœ‰åˆ›é€ è‰¯å¥½ä¸š¾l©çš„能力、能够äؓ投资者带来持¾l­å›žæŠ¥çš„公司的股¼œ¨ã€?/span></p> <p><span style="font-size:20px;">  案例3åQšæ³„漏消息非ž®äº‹ 赔了é’Þpƒ¦åˆè´Ÿå?/span></p> <p><span style="font-size:20px;">  在资本市åœÞZ¸­åQŒè®¸å¤šæŠ•èµ„者往往热衷于探听各¿U?ldquo;ž®é“消息”ã€?ldquo;内幕消息”òq¶ä»¥æ­¤ä½œä¸ÞZ¹°å–è‚¡¼œ¨çš„依据。有些投资者认为内òq•äº¤æ˜“危害不大,只要获得内幕信息åQŒå°±èƒ½åœ¨è‚¡å¸‚里大赚一½W”。还有些投资者认为,利用内幕消息赚了钱才会被处罚åQŒèµ”了钱不需要承担ä“Q何法律责仅R€‚但是事实是否真是这样呢?让我们来看下面几个案例ã€?/span></p> <p><span style="font-size:20px;">  王某某,时ä“QX集团(国有企业)财务æ€È›‘åQŒå…¨½E‹å‚与了X集团控股的A上市公司重大资äñ”重组˜q‡ç¨‹ã€‚在èŽïLŸ¥è¯¥å†…òq•ä¿¡æ¯åŽåQŒçŽ‹æŸæŸåœ¨ä¸Žå‘小赉|ŸæŸçš„电话联络中,ž®†A公司资äñ”重组˜q™ä¸€é‡å¤§åˆ©å¥½é€éœ²¾l™äº†èµ‰|ŸæŸã€‚è™n某某得知消息后,立即使用本äh账户投入22.53万元ä¹îCº†2.72万股A公司股票åQŒå½{‰è‚¡ä»·ä¸Šå‡ã€‚可是事与愿˜qï¼Œ½{‰æ¥çš„竟是资产重¾l„失败的消息。偷鸡不成蚀把米åQŒè™n某某不但没有赚到钱,反而倒赔äº?.94万元。更想不到的是,证监会事后通过调查ž®†æ­¤å†…幕交易情况掌握的一清二楚。根据《证券法》第七十六条的规定,证券交易内幕信息的知情äh和非法获取内òq•ä¿¡æ¯çš„人,在内òq•ä¿¡æ¯å…¬å¼€å‰ï¼Œä¸å¾—买卖该公司的证券åQŒæˆ–者泄露该信息åQŒæˆ–者徏议他äºÞZ¹°å–该证券。王某某泄漏内幕信息åQŒè™n某某从事内幕交易的行ä¸ø™¿åäº†ã€Šè¯åˆ¸æ³•ã€‹ç¬¬ä¸ƒåå…­æ¡çš„规定,已构成了《证券法》第二百零二条所˜q°çš„内幕交易情åŞåQŒç­‰å¾…他们的分别æ˜?万元的罚‹Æ¾ã€?/span></p> <p><span style="font-size:20px;">  无独有偶åQŒåŒ…某某也因内幕交易栽了跟头。包某某时ä“QH上市公司æ€ÖM¼šè®¡å¸ˆåQŒåœ¨å¾—知H上市公司拟进行矿业资产注入的重大信息后,ž®†æ­¤æ¶ˆæ¯ç”µè¯é€éœ²¾l™äº†æœ‹å‹å†¯æŸæŸã€‚冯某某得知消息后立即通过å¦Õd­è´¦æˆ·å’Œä»–äºø™ÌŽæˆ·ä¹°å…¥H上市公司股票åQŒå…±èŽ·åˆ©1.8万元。然而天¾|‘恢恢疏而不漏,此违法行为终ž®†éš¾é€ƒæ³•å¾‹åˆ¶è£ã€‚最¾lˆï¼Œè¯ç›‘会分别对包某某和冯某某处ä»?0万元的罚‹Æ¾ã€?/span></p> <p><span style="font-size:20px;">  证券市场参与人员应严æ ÆD­¦æƒ•å†…òq•äº¤æ˜“行为。一斚w¢åQŒä¸Šå¸‚公司及其关联公司的董事、监事和高çñ”½Ž¡ç†äººå‘˜ä½œäؓ内幕信息知情人员åQŒå¯¹å†…幕信息负有保密义务。如果掉以轻心,ä¸ÞZº†æ‰€è°“哥们义气而泄漏内òq•ä¿¡æ¯ï¼Œä¸ä»…可能丢了饭碗åQŒè¿˜ä¼šå¯¼è‡´èín败名裂。另一斚w¢åQŒæŠ•èµ„者作ä¸ÞZ»Žäº‹è¯åˆæ€º¤æ˜“的人员åQŒä¹Ÿä¸è¦éšæ„å¬ä¿¡“ž®é“消息”。即使某些信息言之凿凿,但是ç”׃ºŽè¯åˆ¸å¸‚场的复杂性随机性,利用内幕消息从事证券交易仍然可能å¯ÆD‡´å‰²è‚‰èµ”é’±åQŒå¾—不偿失。进一步来è¯ß_¼Œå†…幕交易是证券市åœÞZ¸¥åŽ‰æ‰“å‡Èš„˜qæ³•è¡ŒäؓåQŒå³ä½¿ä»Žäº‹å†…òq•äº¤æ˜“赔了钱åQŒä»ç„‰™œ€è¦æ‰¿æ‹…法律责仅R€‚根据《最高äh民检察院、公安部关于公安机关½Ž¡è¾–的刑事案件立案追诉标准的规定(äº?》的规定åQŒå¦‚果证åˆæ€º¤æ˜“成交金额篏计在五十万元以上åQŒæˆ–者获åˆ?避免损失)数额累计在十五万元以上的˜q˜å°†æž„成内幕交易¾|ªï¼Œè¢«è¿½½I¶åˆ‘事责仅R€‚曾¾lé£Žå…‰æ— é™çš„资本市场大ä{因äؓ内幕交易íw«é™·å›¹åœ„的案例比比皆是,发ähæ·Þqœã€‚许多从事内òq•äº¤æ˜“的人往往抱有侥幸心理åQŒè‡ªä»¥äؓ¼œžä¸çŸ¥é¬¼ä¸è§‰åQŒæ®Šä¸çŸ¥ç›‘管部门å¯ÒŽ­¤å…ähœ‰ä¸¥æ ¼çš„防控体¾p»ï¼Œå†…幕交易¾lˆå½’éšùN€ƒæ³•¾|‘。在此提醒广大投资者,内幕信息是不能说的秘密,内幕交易是不能碰的红¾Uѝ€‚守住了法律的底¾U¿ï¼Œä¹Ÿå°±å®ˆä½äº†è‡ªå·±å…¬òq³ä»Žäº‹è¯åˆæ€º¤æ˜“的权利ã€?/span></p> <p> </p> <p style="text-align: right;"><span style="font-size:20px;">  案例来源åQšä¸­å›½è¯ç›‘会 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