刘冬

LiuDong

　　[ 保荐机构人员在拟上市公司改制、增资扩股或实施管理层持股计划等关键阶段，安排亲属或其可以控制的公司投资入股或以优惠价格入股的案例，目前已发生多起 ] [the sponsor personnel in quasi listed company restructuring/Increase endowment spread or implementation management to hold a plan to wait the key stage,Arrange relatives or its can control the company invest in stocks or favorable price to buy a stake in case,At present already happened several]

　　证监会昨日通报了对国信证券原投资银行部四部总经理李绍武违规入股拟上市股份并获利的处罚结果：没收李绍武违法所得1021.6万元，并处以600万元罚款。同时认定李绍武为市场禁入者，自证监会宣布决定之日起，终身不得从事证券业务或担任上市公司董事、监事、高级管理人员职务。

Securities regulatory commission yesterday to report it to the securities held the original investment, k, four department general manager LiShaoWu illegal buy-in quasi listed shares and profit of punishment results:LiShaoWu confiscated of the illegal income 10.216 million yuan,And impose a fine of RMB 6 million yuan.At the same time LiShaoWu determination for the market to forbid into the person,Since the securities regulatory commission announced the date of decision,Life may engage in the securities business or act as directors of listed companies/supervisors/Senior management position.

　　证监会调查显示，2001年3月，国信证券深圳投行三部提交洛阳轴研科技(002046,股吧)股份有限公司（002046.SZ，下称“轴研科技”）的改制上市报告。同年4月，国信证券轴研科技项目审批获得通过，李绍武为项目负责人。2001年12月至2003年3月，国信证券对轴研科技进行上市辅导，李绍武为辅导人员。

Securities regulatory commission survey,In march of 2001,Held in shenzhen securities investment bank department submit three luoyang shaft research technology(002046,guba)Co., LTD.(002046 SZ,said"Axis mortar technology")Restructuring of listed report.In April,Held securities axis mortar technology project examination and approval get through,LiShaoWu for project person in charge.December 2001 to March 2003,Securities held for shaft research technology for listing guidance,LiShaoWu for coaching staff.

　　2001年，李绍武在得知轴研科技将引入战略投资者后，介绍本人控制的深圳市昕利科技发展有限公司于同年8月以发起人战略投资者的身份认购65万股轴研科技股份。2005年5月，轴研科技在深交所上市，昕利科技持有的上述股份进行登记，至2007年3月5日全部卖出。

In 2001,,In LiShaoWu that axis mortar technology will after introduced strategic investors,Introduce I control the shenzhen xin technology development co., LTD. In the same year in August the identity of the strategic investors subscribed 650000 strands of axis mortar technology shares.In May 2005,Axis mortar technology in shenzhen listed,The xin technology hold the share register,To 2007 on March 5th sell out completely.

　　此外，2001年起，李绍武在对深圳莱宝高科(002106,股吧)股份有限公司（002106.SZ）、河南佰利联(002601,股吧)化学股份有限公司（002601.SZ）、河南四方达(300179,股吧)超硬材料股份有限公司（300179.SZ）等3家拟上市公司进行改制辅导和保荐上市过程中，通过其配偶邱某、岳母冯某等的名义，持有、转让其股份或买卖其股票。李绍武上述行为合计获利1021.6万元。

In addition,Since 2001,LiShaoWu in the shenzhen high-tech lai treasure(002106,guba)Co., LTD.(002106 SZ)/billions(002601,guba)Chemical co., LTD(002601 SZ)/Henan four fonda(300179,guba)Superhard materials co., LTD(300179 SZ)And three quasi listed company of the restructuring guidance and sponsor listing process,Through its QiuMou spouse/Mother-in-law in the name of the FengMou, etc,hold/To transfer its shares or buying and selling its stock.The total LiShaoWu behavior made a profit of 10.216 million yuan.

　　证监会认定，李绍武上述行为违反了《证券法》第四十三条“证券交易所、证券公司和证券登记结算机构的从业人员、证券监督管理机构的工作人员以及法律、行政法规禁止参与股票交易的其他人员，在任期或者法定限期内，不得直接或者以化名、借他人名义持有、买卖股票，也不得收受他人赠送的股票”的规定。

Securities regulatory commission that,LiShaoWu the above actions violated the[Securities law]Article 43"Stock exchange/Securities companies, and securities registration and settlement agency employees/The securities supervision and administration institution work personnel and legal/Administrative rules and regulations from participating in stock trading other personnel,In the term of their office or within the legal time limit,May not directly or by alias/In the name of others by holding/Buy and sell stocks,Nor shall they accept stocks donated by others"regulations.

　　证监会决定：没收李绍武违法所得1021.6万元，并处以600万元罚款。同时，鉴于当事人违法行为性质恶劣，社会危害后果严重，证监会决定：认定李绍武为市场禁入者，自证监会宣布决定之日起，终身不得从事证券业务或担任上市公司董事、监事、高级管理人员职务。

Securities regulatory commission decided to:LiShaoWu confiscated of the illegal income 10.216 million yuan,And impose a fine of RMB 6 million yuan.At the same time,In view of the nature of the illegal act bad,The consequences are serious social harm,Securities regulatory commission decided to:LiShaoWu determination for the market to forbid into the person,Since the securities regulatory commission announced the date of decision,Life may engage in the securities business or act as directors of listed companies/supervisors/Senior management position.

　　保荐机构人员在拟上市公司改制、增资扩股或实施管理层持股计划等关键阶段，安排亲属或其可以控制的公司投资入股或以优惠价格入股的案例，目前已发生多起。早前招商证券(600999,股吧)李黎明违规入股江西西林科股份有限公司一案也遭到证监会的调查。

The sponsor personnel in quasi listed company restructuring/Increase endowment spread or implementation management to hold a plan to wait the key stage,Arrange relatives or its can control the company invest in stocks or favorable price to buy a stake in case,At present already happened several.Earlier China merchants securities(600999,guba)LiLiMing illegal in jiangxi schering section co., LTD., a case was also the investigation of the CSRC.

　　证监会昨日还通报了银河证券投行总部股票发行部副经理张涛内幕交易案的处理结果，张涛在方大炭素(600516,股吧)（600516.SH）进行定向增发前后，通过其妻子的账户交易该股票，构成内幕交易。证监会决定没收张涛违法所得11.77万元，处以45.31万元罚款，并责令其处理非法持有的股票，同时认定张涛为市场禁入者，5年内不得从事证券业务或担任上市公司董事、监事、高级管理人员职务。

Securities regulatory commission yesterday also report it to the galaxy securities investment bank headquarters issued stock deputy manager zhang tao with insider trading case processing results,Zhang tao with large carbon in the party(600516,guba)(600516. SH)For additional directional before and after,Through its wife's account dealing the stock,Constitute insider trading.Securities regulatory commission decided to confiscate the illegal income zhang tao with 117700 yuan,Fined up to 453100 yuan,And instruct its to deal with illegal possession of the stock,At the same time for the market that zhang tao with those off-limits,Five years shall not be engaged in securities business or act as directors of listed companies/supervisors/Senior management position.

　　此外，沈少玲因内幕交易被处以60万元罚款及10年市场禁入，瀚宇投资内幕交易及非法利用他人账户买卖证券案、肖家守等人内幕交易案相关责任人也分别领罚。

In addition,ShenShaoLing for insider trading be fined up to 600000 yuan and 10 years to forbid into the market,Said han yu investment insider trading and illegal use the other account in buying and selling securities/Shaw home keep, insider trading case the relevant responsible persons also bring punishment respectively.