Workflow
投资者保护
icon
Search documents
证监会最新公布!办理案件739件,罚没超153亿元
券商中国· 2025-03-21 13:29
Core Viewpoint - The China Securities Regulatory Commission (CSRC) emphasizes the importance of strengthening regulatory enforcement and investor protection while promoting high-quality development in the capital market for 2024 [2][4][11]. Group 1: Regulatory Actions and Enforcement - In 2024, the CSRC handled 739 cases and made 592 administrative penalty decisions, with a total fine amounting to 15.342 billion yuan, which is 2.4 times that of 2023 [2][7]. - The number of penalized entities reached 1,327, a year-on-year increase of 24%, and 118 individuals were banned from the market, up 14.56% [2][7]. - The CSRC plans to enhance the comprehensive punishment and prevention mechanism for financial fraud, establishing a three-dimensional accountability system involving administrative, civil, and criminal responsibilities [6][9]. Group 2: Capital Market Reform Initiatives - The CSRC established a "1+N" policy system in 2024, introducing several supporting documents to improve the regulatory framework for securities companies and public funds [3]. - The implementation of the stock issuance registration system is being deepened, with a focus on enhancing the quality of listed companies and tightening the entry standards for public offerings [3][8]. Group 3: Support for Economic Development - The CSRC aims to enhance the capital market's ability to support high-quality economic development, particularly in technology innovation and new productive forces [4]. - In 2024, the CSRC received 2,609 administrative license applications, including 607 registration applications, and issued 1,359 administrative license approvals [5]. Group 4: Investor Protection Measures - The CSRC guided the China Securities Investor Service Center to initiate 15 representative lawsuits and 5 derivative lawsuits to protect investors' rights [11]. - The center successfully mediated over 8,000 cases, recovering more than 650 million yuan for investors [11].
中国证监会2024年法治政府建设情况
证监会发布· 2025-03-21 09:55
Core Viewpoint - In 2024, the China Securities Regulatory Commission (CSRC) aims to enhance the rule of law in the capital market, guided by Xi Jinping's thoughts and the spirit of the 20th National Congress of the Communist Party of China, focusing on high-quality development and risk prevention in the capital market [1][16]. Group 1: Legal Framework and Regulatory Improvements - The establishment of a "1+N" policy system to improve legislative quality, including the issuance of supporting documents to enhance the regulatory framework for securities companies and public funds [2][3]. - The CSRC plans to implement a comprehensive legislative work plan for 2024, focusing on revising and improving securities and futures regulations [3]. - Continuous enhancement of the basic legal system for the capital market, including the promotion of new administrative regulations and the revision of existing laws [2]. Group 2: Economic Support and Market Functionality - The CSRC aims to improve the capital market's ability to support high-quality economic development, particularly in technology innovation and new production capabilities [4]. - A total of 2,609 administrative license applications were received in 2024, with 1,359 approvals issued, indicating a robust administrative process [5]. Group 3: Market Environment and Enforcement - The establishment of a comprehensive mechanism to prevent and punish financial fraud, including collaboration with various departments to enhance regulatory enforcement [6]. - In 2024, 739 cases were handled, with administrative penalties amounting to 15.342 billion yuan, a significant increase from the previous year [7]. - Continuous strengthening of daily supervision and regulatory measures to ensure compliance and maintain market integrity [7]. Group 4: Risk Prevention and Investor Protection - The CSRC emphasizes the importance of risk prevention in the futures market and aims to enhance the quality of listed companies through stricter regulations [9]. - A total of 8,000 cases were successfully mediated in 2024, recovering over 650 million yuan for investors, showcasing the effectiveness of dispute resolution mechanisms [13]. - The implementation of investor protection measures, including educational initiatives and legal support for investors, is a priority for the CSRC [14]. Group 5: Transparency and Accountability - The CSRC is committed to enhancing transparency in governance and regulatory processes, with 650 government information requests processed in 2024 [11]. - Continuous legal review and public engagement are prioritized to ensure regulatory actions are transparent and accountable [11][12].
保障金融权益 助力美好生活——深交所开展2025年“3·15”投资者保护教育宣传系列活动
Group 1 - The core theme of the event is "Protecting Financial Rights and Supporting a Better Life," focusing on investor education and rights protection [1] - The event included interactive activities such as quizzes and games to promote financial knowledge among investors and the public, with participation from over 200 individuals [1] - The fifth season of the program "投投是道" aims to provide insights on rational investment methods through expert discussions on industry analysis, investment strategies, and risk management [2] Group 2 - In 2024, the Shenzhen Stock Exchange (SZSE) aims to enhance investor returns by promoting higher dividend payouts, with a total cash dividend of approximately 580 billion yuan, involving over 2,400 listed companies [2] - The SZSE organized 434 investor education events nationwide in 2024, including 57 investor forums to understand their needs and suggestions for market reforms [2] - The SZSE is committed to fostering a healthy investment culture by collaborating with media and conducting campaigns to promote long-term value investment principles [2][3]
3·15基金行业在行动丨保障金融权益 助力美好生活
淡水泉投资· 2025-03-11 09:17
3月15日是国际消费者权益日。根据中国证监会、中国证券投资基金业协会工作部署,淡水泉开展 2025年"3·15"投资者保护教育宣传专项活动。本次活动以"保障金融权益,助力美好生活"为主题, 聚焦为民办实事、强化防非宣传、加强法治宣教的重点方向,现分享重点内容如下: 不法机构往往冒充基金管理人, 通过诱导下载仿冒APP、退还 培训费、推荐股票、承诺收益等 行为欺骗投资者,请加强防范。 公募基金管理人查询 私募基金管理人查询 69 中国证券投资基金业协会 Asset Management Association of China ...
3·15投资者保护 | 警钟长鸣,远离非法证券咨询陷阱
中泰证券资管· 2025-03-10 09:09
Core Viewpoint - The article emphasizes the increasing prevalence of illegal securities consulting activities and the need for investors to enhance their ability to identify and prevent such scams. Group 1: Illegal Securities Consulting Activities - Illegal securities consultants often use enticing language to promise high returns, such as "insider information," "recommendation of stocks that will hit the ceiling," or "guaranteed profits of 30%-100%" [1] - Investors should abandon the fantasy of "getting rich overnight" and maintain rationality when faced with such temptations, firmly avoiding traps set by fraudsters [1] Group 2: The Role of Online Platforms - Online platforms have become breeding grounds for illegal securities activities, with individuals self-proclaiming as "stock gods" or "stock recommendation experts" who can identify "dark horse stocks" [3] - The uncertainty of the securities market means that no one can accurately predict stock price movements, and the "cult of personality" around these figures exploits investors' blind trust in authority for personal gain [3] Group 3: Investor Vigilance - Investors must remember that "there are no free lunches" and should not easily believe in myths of quick wealth in the securities market, making it difficult for so-called "experts" and "stock gods" to thrive [4] - Many investors fall victim to scams due to a lack of risk awareness, and some continue to hold onto a sense of luck even after being deceived multiple times, which provides opportunities for fraudsters [4] Group 4: Continuous Learning - As important participants in the securities market, investors should continuously learn about investment knowledge and understand market rules, which is crucial for identifying false information and preventing fraud [6] - Investors should also enhance their understanding of securities laws and regulations, stay updated on policy changes, and improve their ability to distinguish between legal and illegal activities to better protect their rights and maintain market order [6]
上交所总经理,最新发声!
券商中国· 2025-03-08 05:39
Group 1: Investor Protection and Legal Framework - The article emphasizes the need to strengthen judicial support for investor protection institutions to enhance their ability to safeguard investor rights, suggesting amendments to the "Representative Litigation Judicial Interpretation" and related policies [2][5] - Current challenges faced by investor protection institutions include complex litigation procedures and high case acceptance fees, which hinder their effectiveness in representing investors [3][4] - Recommendations include allowing direct special representative litigation for significant cases without prior ordinary representative litigation, and clarifying that investor protection institutions should not prepay case acceptance fees [5][6] Group 2: Development of REITs Market - Since the pilot launch of REITs in April 2020, the market has seen stable progress, with 58 REITs products listed by the end of 2024, raising over 160 billion yuan and facilitating new investments exceeding 940 billion yuan [7] - The REITs market is currently small compared to the vast scale of infrastructure and commercial real estate, indicating a need for deeper market engagement and diversification of investor participation [7][8] - Suggestions for enhancing the REITs market include optimizing listing conditions, increasing the participation of institutional investors, and expediting specialized legislation to improve product structure [8]
重磅!全国政协委员、上交所总经理蔡建春最新发声
证券时报· 2025-03-08 04:15
Group 1: Investor Protection and Legal Framework - The article emphasizes the need to strengthen judicial support for investor protection institutions to enhance their ability to safeguard investor rights, including proposed amendments to the "Representative Litigation Judicial Interpretation" and the "Opinions on Promoting the Diversified Resolution Mechanism for Securities and Futures Disputes" [2][5] - Current challenges faced by investor protection institutions include complex litigation procedures, high case acceptance fees, and limited selection of cases as demonstration cases by courts, which hinder their effectiveness [4][6] Group 2: REITs Market Development - The article highlights the progress of the REITs market since the pilot launch in April 2020, noting that by the end of 2024, there are 58 REITs products listed, raising over 160 billion yuan, and facilitating new project investments exceeding 940 billion yuan [8] - Despite the growth, the REITs market faces challenges such as a small overall scale compared to the vast infrastructure and commercial real estate sectors, insufficient participation from long-term funds, and complex product structures [8][10] - Recommendations for enhancing the REITs market include optimizing listing conditions, increasing the influx of new capital, and accelerating specialized legislation to improve product structures [10]
同花顺(300033) - 舆情管理制度(202502)
2025-02-24 13:16
舆情管理制度 第一章 总则 第一条 为提高浙江核新同花顺网络信息股份有限公司(以下简称"公司")应对 各类舆情的能力,建立快速反应和应急处置机制,及时、妥善处理各类舆情对公司股 价、商业信誉以及正常生产经营活动造成的影响,切实保护投资者合法权益,根据 相关法律、法规和规范性文件的规定及《公司章程》,结合公司实际情况,制定本制 度。 第二条 本制度所称舆情包括: (一)报刊、广播、电视、通讯社等传统媒体和网络新媒体对公司进行的各类报道; (二)在各类媒体平台上存在的已经或将给公司造成影响的传言或信息; (三)可能或者已经影响投资者投资取向,造成股价异常波动的信息。 浙江核新同花顺网络信息股份有限公司 第二章 舆情管理的组织体系及其工作职责 第三条 公司应对各类舆情实行统一领导、统一组织、快速反应、协同应对。 第四条 公司成立应对舆情管理工作领导小组(以下简称"舆情工作组"),由公 司董事长任组长,董事会秘书任副组长,成员由公司高级管理人员及相关职能部门负 责人组成。 第五条 舆情工作组是公司应对各类舆情处理工作的领导机构,统一领导公司应 对各类舆情的处理工作,就相关工作做出决策和部署,根据需要研究决定公司对外 ...
德福科技-提质增效谋长远 诚信沟通筑未来——2025年江西辖区上市公司投资者网上集体接待日【全景路演】
2024-10-31 00:57
尊敬的各位领导各位嘉宾上市公司高管以及各位投资者朋友们大家下午好 为深化江西上市公司与投资者之间的交流互动推动辖区上市公司进一步做好投资者关系管理工作通过透明高效的交流帮助广大投资者更全面更深入的来了解江西辖区上市公司的经营发展战略规划与投资价值在中国证券监督管理委员会江西监管局的指导下 江西省上市公司协会深圳市全景网络有限公司联合举办2025年江西辖区上市公司投资者网上集体接待日活动今天的活动汇集了江西辖区87家优秀的上市公司代表 他们将通过全景服务平台与投资者面对面的来进行沟通解答疑问 倾听建议我们也期待借此机会上市公司可以持续优化投资者关系管理增强市场信心共同营造健康共赢的资本市场生态同时全景网将利用视频文字报道等多渠道对活动进行现场实时报道感谢您的关注 接下来请允许我向大家介绍莅临本次活动的嘉宾他们是中国证券监督管理委员会江西监管局党委委员副局长赵江平欢迎您中国证券监督管理委员会江西监管局公司监管处副处长胡颖欢迎您 深圳市全景网络有限公司副总经理李伟欢迎您通商律师事务所合伙人萧敬清欢迎您同时还有江西辖区的87家上市公司欢迎大家的到来 近年来江西资本市场改革发展取得了显著成效上市公司质量是持续提升在注册 ...