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严监严管持续优化资本市场新生态
Zheng Quan Ri Bao· 2025-09-28 16:08
Core Viewpoint - The China Securities Regulatory Commission (CSRC) is intensifying its regulatory enforcement against financial fraud and information disclosure violations, aiming to enhance market integrity and investor confidence [1][2][3]. Regulatory Framework - Recent legal reforms, including the new Securities Law and related regulations, have established a robust regulatory framework for capital markets, providing a solid basis for enforcement actions [2][3]. - The CSRC has issued over 2,200 administrative penalties for financial fraud and market manipulation during the 14th Five-Year Plan period, with fines totaling 41.4 billion yuan, marking increases of 58% and 30% respectively compared to the previous five-year period [2][3]. Enforcement Actions - The CSRC is focusing on severe violations such as financial fraud and insider trading, with notable cases leading to significant penalties, including a 2.25 billion yuan fine against Zhongke Huayuan Titanium Co., Ltd. for compliance violations [3][4]. - Since last year, the CSRC has investigated 67 delisted companies for illegal activities, with 33 cases referred for potential criminal prosecution [3][4]. Investor Protection - The regulatory bodies are enhancing investor protection mechanisms, including the introduction of new judicial interpretations and multi-faceted dispute resolution frameworks to support investor rights [5][6]. - Landmark cases, such as the special representative litigation against Kangmei Pharmaceutical, have resulted in substantial compensation for investors, demonstrating the effectiveness of the new protective measures [5][6]. Comprehensive Accountability - The CSRC is promoting a multi-layered accountability system that integrates administrative, civil, and criminal responsibilities to strengthen deterrence against securities violations [8][9]. - Over the past five years, the CSRC has referred more than 700 cases to law enforcement, leading to serious criminal accountability for numerous offenders [9]. Future Directions - Experts suggest that future regulatory efforts should focus on precise enforcement against financial fraud while ensuring that intermediary institutions fulfill their responsibilities as gatekeepers [4][6]. - There is a call for a "one-stop" platform for investor rights protection, integrating various forms of dispute resolution to facilitate easier access for small investors [7].
证监会:聚焦投资者深恶痛绝的问题,把“板子”打准打疼|快讯
Hua Xia Shi Bao· 2025-09-22 09:57
Group 1 - The core viewpoint of the article is that the China Securities Regulatory Commission (CSRC) has significantly enhanced the effectiveness and deterrence of regulatory enforcement over the past five years, focusing on financial fraud and related violations [2] - The CSRC has established a comprehensive punishment and prevention system to combat financial fraud, targeting both the main perpetrators and accomplices, effectively dismantling the "ecosystem" of fraud [2] - Notable actions include imposing record fines of 4.175 billion yuan on Evergrande Group and 325 million yuan on its auditing firm for financial fraud in the bond market [2] Group 2 - The CSRC has utilized legal means rigorously, ensuring precise and impactful enforcement, and has collaborated with the Supreme Court to issue guidelines for fair and just law enforcement to support the high-quality development of the capital market [2] - Over the past five years, the CSRC has referred more than 700 cases and leads to public security authorities, resulting in serious criminal accountability for several responsible individuals [2]
配合造假的第三方,正浮出水面
Jin Rong Shi Bao· 2025-08-14 01:46
一个多月内,中国证监会在其官网先后通报越博动力(现"越博退")、 *ST高鸿两例财务造假案件 处理情况。除上市公司及直接责任人被依法严惩外,引发各方关注的是,配合造假的第三方也被同步追 责。 "第三方主体配合、串通上市公司实施造假,双方乃至多方形成利益链、'生态圈',是近年来资本 市场财务造假的新特点,不仅扰乱市场秩序,且严重污染市场生态,必须予以严厉打击。"中国证监会 在通报中明确表示。 2024年以来,监管部门已多次明确严厉打击系统性造假和配合造假,并将第三方配合造假纳入惩治 范围,释放出严厉打击第三方造假的明确信号。 据《金融时报》记者不完全统计,今年内,因财务造假而被证监部门处罚或拟处罚的上市公司中, 8家涉及第三方公司配合虚构业务,包括ST诺泰、*ST苏吴、ST朗源、*ST广道、*ST恒久、*ST锦港、 ST智云、ST中青宝等。 第三方配合造假认定存诸多难点 梳理过往文件可以发现,第三方配合上市公司实施财务造假并非近年来才有的"新鲜"手段。据厦门 国家会计学院教授黄世忠统计,2019年至2023年,涉及客户、供应商、隐性关联方、金融机构等三方配 合造假的上市公司共计53家,多达541家第三方配合造假 ...
证监会动真格!严惩配合造假的第三方
2 1 Shi Ji Jing Ji Bao Dao· 2025-08-06 04:15
Core Viewpoint - Since July, eight listed companies in China, including ST Pava and Hongxiang Co., have seen their actual controllers or key executives involved in criminal activities due to violations, with nearly 20 cases since 2025. The regulatory focus is now on the "third-party accomplices" that facilitate these fraudulent activities [2] Regulatory Actions - The China Securities Regulatory Commission (CSRC) is intensifying accountability measures against third-party accomplices involved in financial fraud, aiming to establish the "Regulations on the Supervision and Administration of Listed Companies" to legally empower the CSRC to investigate and impose administrative penalties on these accomplices [2] - The CSRC is promoting inter-departmental cooperation, where identified accomplices will be referred to relevant authorities for further action, allowing each department to manage its respective cases [2] Case Examples - The case of Yuebo Power saw two accomplices fined 2.3 million yuan, marking a precedent in administrative penalties [2] - In the Saiwei Intelligent case, a third-party company involved in fraud was ordered to bear 3% of the joint liability for damages, establishing a judicial precedent [2] - In the Beijing Culture case, related accountants faced criminal accountability, indicating a breakthrough in criminal responsibility for accomplices [2]
年内19家公司退市后收罚单 监管部门强化立体追责
Zheng Quan Ri Bao· 2025-07-10 16:07
Core Viewpoint - The regulatory authorities have intensified oversight on delisted companies, with a significant increase in penalties issued this year compared to the previous year, aimed at protecting the rights of small and medium investors and enhancing market integrity [1][2][3]. Regulatory Actions - As of July 10, 2023, 19 delisted companies have received 20 penalties from the China Securities Regulatory Commission (CSRC) or local regulatory bodies, a substantial increase from 10 penalties in the same period last year [2]. - The penalties include 18 administrative punishment decisions and 2 advance notices of administrative punishment, reflecting a strict "delisting does not exempt from liability" policy [2]. Case Examples - Nanjing Yuebo Power System Co., Ltd. was fined a total of 3.8 million yuan for failing to disclose its annual report on time and for financial misconduct, highlighting the regulatory focus on financial integrity [2]. - Guangdong Haiyin Group Co., Ltd. was penalized 13 million yuan for failing to disclose significant transactions with related parties in its annual reports, demonstrating the zero-tolerance approach of regulators [3]. Investor Compensation - Efforts to support investor compensation are ongoing, with various lawsuits initiated against delisted companies for losses incurred due to fraudulent activities [4]. - The Supreme People's Court and the CSRC have issued guidelines allowing investors to file civil compensation lawsuits for losses caused by false statements [4]. Legal Framework and Enforcement - There is a call for improved legal frameworks to facilitate investor rights and lower the costs of legal actions, emphasizing the need for streamlined processes and enhanced collaboration among regulatory bodies [5]. - The regulatory framework includes a multi-faceted accountability system that combines administrative, civil, and criminal measures to deter fraudulent activities in the capital market [6][7].
打击财务造假 彰显呵护资本市场决心
Qi Huo Ri Bao Wang· 2025-07-03 23:43
Group 1 - The China Securities Regulatory Commission (CSRC) has initiated administrative penalties against Nanjing Yuebo Power System Co., Ltd. for suspected violations of information disclosure laws, targeting both the company and its actual controllers, as well as responsible executives [1] - Between 2018 and 2022, Yuebo Power inflated its revenue and profits through fictitious sales of new energy vehicle powertrains and false asset sales, leading to false records in annual reports [1] - Financial fraud is described as a "tumor" that harms the health of the capital market, undermining fairness and transparency, and misleading investors into making uninformed decisions, resulting in significant losses [1] Group 2 - Fraudulent companies attract substantial funding through manipulated financial data, diverting resources away from law-abiding and promising enterprises, which disrupts market resource allocation and efficiency, ultimately hindering economic development [2] - Regulatory authorities are intensifying accounting supervision and cracking down on financial fraud, sending a strong signal against such practices and demonstrating a commitment to maintaining a healthy market environment [2] Group 3 - A healthy capital market is essential for investors, enterprises, and economic development, and combating financial fraud requires collective efforts from all stakeholders [3] - Regulatory bodies need to enhance the legal framework and enforcement, while companies must adhere to integrity and proper financial management, and intermediaries should fulfill their supervisory roles [3] - Increased awareness and ability to identify fraud among investors are crucial for protecting the capital market ecosystem [3]
证监会对越博动力造假追责至第三方,筑牢资本市场投资者信心防线
Mei Ri Jing Ji Xin Wen· 2025-06-29 10:39
Core Viewpoint - The China Securities Regulatory Commission (CSRC) has imposed severe penalties on Yuebo Power for financial fraud, marking the beginning of a comprehensive accountability era for all parties involved in financial misconduct [1][2]. Group 1: Company Actions and Penalties - From 2018 to 2022, Yuebo Power engaged in fraudulent activities, including fabricating sales of new energy vehicle powertrains and falsely selling assets, leading to inflated revenue and profits [2]. - The CSRC plans to impose a total fine of 30.8 million yuan on Yuebo Power and its responsible individuals, with key figures facing 8 to 10-year bans from the securities market [2]. - Two accomplices in the fraud will face fines of 2 million yuan and 300,000 yuan for their roles in facilitating the fraudulent activities [2]. Group 2: Implications for the Market - The case serves as a warning to all listed companies about the consequences of financial fraud, emphasizing that integrity is essential for long-term success in the capital market [3]. - The penalties against third-party accomplices in the fraud signal a shift in regulatory focus, indicating that all participants in fraudulent activities will face legal repercussions, regardless of their role [3][4]. - The crackdown on the entire chain of fraud is expected to deter potential violators and enhance the overall health of the market, reinforcing the importance of compliance for sustainable operations [4]. Group 3: Investor Protection - The expanded scope of penalties to include third-party accomplices provides a stronger protective barrier for investors, ensuring that those who suffer losses can seek accountability beyond just the listed companies [4]. - As more cases like this emerge, the prevalence of financial fraud is anticipated to decline, leading to more reliable information for investors and improved market transparency [4].
越博退:关于公司股票终止上市暨摘牌的公告
2024-07-21 07:34
证券代码:300742 证券简称:越博退 公告编号:2024-103 南京越博动力系统股份有限公司 关于公司股票终止上市暨摘牌的公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整,没有虚 假记载、误导性陈述或重大遗漏。 特别提示: 1、公司股票已被深圳证券交易所决定终止上市,公司股票于 2024 年 7 月 1 日进 入退市整理期,在退市整理期交易十五个交易日,最后交易日为 2024 年 7 月 19 日。 因你公司经审计的 2022 年年末归属于上市公司股东的净资产为-8,359.91 万元, 你公司股票交易自 2023 年 5 月 4 日起被实施退市风险警示。 1、证券种类:人民币普通股 2、证券代码:300742 3、证券简称:越博退 4、终止上市决定日期:2024 年 6 月 21 日 5、摘牌日期:2024 年 7 月 22 日 截至 2024 年 4 月 30 日,你公司未在法定期限内披露 2023 年年度报告,触及 本所《创业板股票上市规则(2023 年 8 月修订)》第 10.3.10 条第一款第四项规定 的股票终止上市情形。根据本所《创业板股票上市规则(2023 年 8 月修订) ...
越博退:关于公司股票进入退市整理期交易第八次风险提示公告
2024-07-18 09:44
证券代码:300742 证券简称:越博退 公告编号:2024-102 南京越博动力系统股份有限公司 关于公司股票进入退市整理期交易第八次风险提示公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整,没有虚 假记载、误导性陈述或重大遗漏。 特别提示: 1、公司股票于退市整理期届满的次一交易日摘牌,公司股票终止上市。 2、公司股票进入退市整理期的起始日为 2024 年 7 月 1 日,退市整理期为十五个 交易日,预计最后交易日期为 2024 年 7 月 19 日。 3、公司股票将在退市整理期交易 15 个交易日,2024 年 7 月 19 日是退市整理期第 十五个交易日暨最后一个交易日,交易期满将被终止上市,敬请广大投资者审慎决策, 注意投资风险。 4、公司股票在退市整理期交易期间,公司将不筹划或实施重大资产重组。 5、请投资者、证券公司等市场主体在股票摘牌前及时了结股票质押式回购、约定 购回、融资融券、转融通、深股通等业务。 6、对于将在股票摘牌后至完成退市板块初始登记期间到期的司法冻结业务,建议 有权机关在股票摘牌前通过原协助执行渠道提前办理续冻手续。 南京越博动力系统股份有限公司(以下简称"公司" ...
越博退:关于公司股票进入退市整理期交易第七次风险提示公告
2024-07-17 15:54
证券代码:300742 证券简称:越博退 公告编号:2024-101 南京越博动力系统股份有限公司 关于公司股票进入退市整理期交易第七次风险提示公告 本公司及董事会全体成员保证信息披露的内容真实、准确、完整,没有虚 假记载、误导性陈述或重大遗漏。 特别提示: 1、公司股票于退市整理期届满的次一交易日摘牌,公司股票终止上市。 2、公司股票进入退市整理期的起始日为 2024 年 7 月 1 日,退市整理期为十五个 交易日,预计最后交易日期为 2024 年 7 月 19 日。 3、公司股票将在退市整理期交易 15 个交易日,2024 年 7 月 18 日是退市整理期第 十四个交易日,剩余一个交易日,交易期满将被终止上市,敬请广大投资者审慎决策, 注意投资风险。 4、公司股票在退市整理期交易期间,公司将不筹划或实施重大资产重组。 5、请投资者、证券公司等市场主体在股票摘牌前及时了结股票质押式回购、约定 购回、融资融券、转融通、深股通等业务。 二 、公司股票退市整理期交易起始日及交易期限 6、对于将在股票摘牌后至完成退市板块初始登记期间到期的司法冻结业务,建议 有权机关在股票摘牌前通过原协助执行渠道提前办理续冻手续。 ...