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上交所本 周对79 起证券异 常交易行_www.forex21.cn

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  核心提示: 4月20日获悉,本周,上交所共对79起证券异常交易行为及时采取了自律监管措施,涉及拉升打压股票价格、对...
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4月20日获悉,本周,上交所共对79起证券异常交易行为及时采取了自律监管措施,涉及拉升打压股票价格、对倒、集合竞价虚假申报等异常交易情形。共对14起上市公司重大事项进行核查,并向证监会上报10起涉嫌违法违规案件线索。

In April 20th, this week, the Shanghai stock exchange conducted a total of 79 abnormal securities trading practices in a timely manner, including self regulatory measures, involving abnormal trading of stock prices, reverse and false declarations. A total of 14 major listed companies were verified, and 10 cases of suspected illegal activities were reported to the SFC.

本周,上交所公司监管部门共发送日常监管类函件42份,其中监管问询函37份,监管工作函5份;通过事中事后监管,要求上市公司披露补充、更正类公告37份。针对信息披露违规行为,采取监管关注措施3单,采取纪律处分措施1单。同时,加大信息披露和股价异常的联动监管,针对公司披露敏感信息或股价发生明显异常的,提请启动内幕交易、异常交易核查5单。

This week, the supervision department of the Shanghai stock exchange sent 42 copies of daily regulatory correspondence, including 37 supervisory letters and 5 supervisory letters, and 37 copies of supplementary and correction announcements were required by the listed companies through the supervision after the event. For information disclosure violations, 3 regulatory attention measures are taken and 1 disciplinary measures are taken. At the same time, the joint supervision of information disclosure and stock price abnormality should be strengthened. In view of the disclosure of sensitive information or the obvious abnormality of the stock price, 5 forms of insider trading and abnormal transaction verification are requested.

与此同时,据《证券日报》记者统计,本周,上交所对包钢股份、奥瑞德、东方银星等5家公司采取了6次监管措施。

At the same time, according to the "Securities Daily", this week, the Shanghai Stock Exchange, the Baotou Steel shares, Reed, Dongfang silver and other 5 companies have taken 6 regulatory measures.

其中,包钢股份时任公司董事长魏栓师、董事会秘书董林在职责履行方面存在两方面违规行为:一是公司长期未披露重大募投项目后续进展停滞的事实,二是公司未充分揭示重大募投项目建设的风险。上交所决定对两人予以通报批评。

Among them, the chairman of the company's chairman Wei Wei and the Secretary of the board of directors Dong Lin have two violations in the performance of their duties: first, the company has not disclosed the fact that the follow-up progress of the major investment projects has been stagnant for a long time, and the two is that the company has not fully revealed the risk of the construction of major investment projects. The Shanghai Stock Exchange decided to criticize the two people.

 

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