Page 46 - 期貨和衍生品行業(yè)監管動(dòng)態(tài)（2024年5月）
P. 46
期貨和衍生品行業(yè)監管動(dòng)態(tài)
境內資訊
? 金融監管機構 Financial Regulatory Authority
1. “長(cháng)牙帶刺”“嚴監嚴管”證監會(huì )持續加大證券期貨違法行為打擊力度——
中國證監會(huì ) 2023 年執法情況綜述（2024 年 5 月 15 日）
2023 年，證監會(huì )從實(shí)查辦新型違法案件，如依法查辦某些團伙利用場(chǎng)外個(gè)
股期權等金融衍生品放大操縱收益，部分人員對 LOF 基金、可轉債等品種實(shí)施
操縱的違法行為。積極配合公安機關(guān)查辦不法團伙利用遠程操控軟件隱藏交易痕
跡、快速賣(mài)出清倉式砸盤(pán)出貨，牟取巨額非法利益的操縱市場(chǎng)違法行為。加大對
私募、期貨違法的執法力度。2023 年辦理私募、期貨案件 29 件，違法類(lèi)型包括
挪用基金財產(chǎn)、違反投資者適當性制度、違規承諾收益、違規投資運作、未按規
定披露信息等，緊盯相關(guān)涉風(fēng)險案件，如某期貨公司未履行對子公司的管理職責，
未真實(shí)、準確、完整報送信息，涉嫌從事非法金融活動(dòng)，證監會(huì )及時(shí)對上述案件
立案查處。
“Tough and Stringent” Enforcement: CSRC Continues to Strengthen
Crackdown on Securities and Futures Violations — — Summary of the China
Securities Regulatory Commission’s Enforcement in 2023 (2024/5/15)
In 2023, the CSRC diligently investigated new types of cases. For example, it
legally investigated against certain groups manipulating profits through off-exchange
stock options and other financial derivatives, as well as some individuals
manipulating the market with LOF funds and convertible bonds. The CSRC actively
cooperated with public security authorities in investigating against illegal groups who
used remote control software to hide trading traces and quickly sold off stocks to clear
positions, in order to reap huge illegal profits through market manipulation. The
CSRC also intensified law enforcement against violations in the private equity and
futures sectors. In 2023, the CSRC handled 29 private equity and futures cases,
36
