2024年证监会查办证券期货违法案件739件

Core Viewpoint - In 2024, the China Securities Regulatory Commission (CSRC) will intensify law enforcement efforts, focusing on strict investigations and penalties for securities and futures violations to maintain market order and protect investors' rights [1][4]. Group 1: Enforcement Actions - The CSRC plans to investigate 739 cases of securities and futures violations, with 592 penalty decisions made, reflecting a 10% year-on-year increase [1]. - A total of 1,327 individuals or entities will face penalties, marking a 24% increase compared to the previous year [1]. - The number of individuals banned from the market will reach 118, which is a 15% increase year-on-year [1]. - The CSRC will refer 178 cases to law enforcement agencies for suspected criminal activities, showing a 51% increase [1]. Group 2: Focus Areas - The CSRC will enhance enforcement in key areas such as issuance and listing, information disclosure, mergers and acquisitions, and delisting, targeting fraudulent issuance, financial fraud, and market manipulation [4]. - In tackling fraudulent issuance, the CSRC will conduct on-site inspections or supervision for 87 proposed listed companies and will handle 5 cases of fraudulent issuance [5]. - For financial fraud, the CSRC will investigate 128 cases, focusing on fictitious business activities, abuse of accounting policies, and collusion with third parties [5]. Group 3: Mergers and Acquisitions - The CSRC aims to invigorate the mergers and acquisitions market while strengthening regulatory enforcement, addressing insider trading in "stealth" restructuring stocks, and resolving 35 related cases [5]. Group 4: Delisting Efforts - The CSRC will adhere to the principle of "delisting without exemption," with 55 companies expected to be delisted in 2024, and will pursue legal accountability for 35 delisted companies and their responsible parties [5].