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Title: 中国人民大学金融信息中心 - 金融信息 - 堵住证券市场违法违规“黑洞”仅有罚单还不够  •  Size: 62449
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堵住证券市场违法违规“黑洞”仅有罚单还不够
提交者: admin 日期: 2008/6/16 阅读: 197
摘要: 2007-8-1 15:13:09

2007-8-1 15:13:09      
 

      新华社信息上海8月1日电(记者潘清)7月25日,中国证监会发布今年以来第三批行政处罚决定书,11张罚单涉及9家上市公司、2家会计师事务所和一家券商,66名责任人同时受到不同程度的处罚。
  监管力度的加大令人欣喜。然而熟悉证券市场的人都清楚地知道,这些罚单揭出的,有可能是证券市场违规违法行为的“冰山一角”。人们关心:罚单能否堵住证券市场的违法违规问题?
  --11张罚单:违规行为“五花八门”
  7月25日,中国证监会集中发布处罚决定书,广东美雅、福建三农等9家上市公司,北京中天华正会计师事务所有限公司等两家会计师事务所,以及广东民安证券有限公司等出现在处罚名单中,52名上市公司高管、4名注册会计师和10名券商负责人分别被处以罚款和警告。11张罚单总计罚款金额524万元。
  这些机构和个人被处罚的原因各有不同。其中,广东美雅通过虚增非经常性损益虚增2003年利润1.1亿元,未及时调整价差收入导致虚增2003年利润5725万元,通过报表调节方式虚增2004年上半年及前三季度利润。最终美雅集团被处以30万元罚款,时任董事冯国良等10位高管则分别被处以10万元
至3万元不等罚款及警告。中天华正会计师事务所则因在审计过程中未勤勉尽责,导致未能发现美雅集团2003年虚增非经常性损益和未及时调整价差收入的事实,被处以10万元罚款,两名会计师也分别被罚款3万元。
  嘉瑞新材在2002年年报、2003年年报及2004年中报当中披露虚假的主营业务收入与利润,且未披露巨额对外担保、实际控制人及其关联方占用大量资金等信息;新疆天山水泥股份有限公司副总经理陈建良在知悉股权转让内幕信息后,利用其控制的资金账户在信息公告前买入股票;民安证券超范围经营资产管理业务,10位营业部负责人分别为主要决策人、组织者和执行者;中油龙昌未按期披露2005年年报……
  --罚单揭出股市违规违法“冰山一角”
  这已是中国证监会今年以来开出的第三批罚单。前两次分别在4月26日和5月14日,而后者的处罚对象正是曾轰动一时的杭萧钢构。
  来自中国证监会的消息说,针对证券违法案件上升的态势,今年上半年证监会已作出34项行政处罚和市场禁入决定,涉及16家上市公司、2家证券公司、2家会计师事务所和1家其他机构,共对134人给予警告,对71人给予罚款,对46名自然人实施市场禁入措施。
  从虚假信息、内幕交易、违规经营,到利用互联网非法经营证券业务案件……正如中国证监会新闻发言人所说,随着市场的改革和发展,中国证券市场违法违规动手段方式花样翻新,行为更加隐蔽,并日益呈现出新型化、多样化、网络化的特征。
  “相对于这些违法违规行为对投资者和整个市场造成的伤害,行政处罚的力度和密度显然是不够的。”上海天相投资咨询公司策略分析师仇彦英说,但频频开出的罚单至少对违法违规形成了震慑,显示管理层的监管力度正在加大,“这对于维护股市的规范运行和健康发展意义重大。”
  --改变违法违规收益与成本之间的失衡
  为什么在不断完善的法律法规防范下,证券市场的违法违规行为仍层出不穷、屡禁不止?华东政法大学经济法学院副院长罗培新教授说,当务之急是改变违法违规收益与成本之间的失衡,提高惩戒的时效性。
  实际上,自2006年新证券法和公司法,以及刑法修正案相继颁布实施后,对虚假信息披露、“掏空”上市公司、挪用客户资金、操纵市场等严重侵害投资者权益犯罪行为的惩罚力度已经大大提高。
  但与美国等成熟市场相比,违法违规成本与收益之间仍存在严重的失衡。“11张罚单,总计罚款仅524万元。”罗培新说,违规成本过低,令惩戒缺乏应有的威慑力。
  另外,上述11张罚单中,许多违法违规行为发生在三四年之前。而在以往的处罚案例中,更严重的滞后也屡见不鲜。事过境迁的处罚往往不能达到应有的警示和社会效果。
  针对证券市场出现的违法违规行为,中国人民大学金融信息中心主任杨健教授建议:证监会、交易所同时加大对券商、基金与庄家操纵股市的处罚力度;严格监督出现“价值背离”的上市公司的高管,对信息披露不实者追究相应的法律责任;严格监督上市公司会计审计制度,违规操作者应严惩。
  来自中国证监会的消息说,今年以来监管部门已经从密切配合司法部门加大对虚假信息披露和内幕交易违法犯罪案件打击力度等六个方面,加大了监管和处罚力度。中国人民银行、银监会、外管局、财政部等相关部门也分别从货币政策、银行资金监管、外汇流入检查、财政政策等角度出台了一系列政策,以达到规范、净化市场的目的。


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