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关于整治非法证券活动有关问题的通知 |
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作者：佚名 文章来源：不详 点击数： 更新时间：2008-5-18 |
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最高人民法院、最高人民检察院、公安部、中国证券监督管理委员会关于整治非法证券活动有关问题的通知 Circular of the Supreme People's Court, Supreme People's Procuratorate, Ministry of Public Security and China Securities Regulatory Commission on the Relevant Issues on the Suppression of Illegal Securities Activities 证监发[2008]第1号 Zhen Jian Hui [2008] No. 1 各省、自治区、直辖市高级人民法院、人民检察院、公安厅（局），解放军军事法院、军事检察院，新疆维吾尔自治区高级人民法院生产建设兵团分院，新疆生产建设兵团人民检察院、公安局，中国证监会各省、自治区、直辖市、计划单列市监管局： The higher people's courts, people's procuratorates and departments (or bureaus) of public security of all provinces, autonomous regions and municipalities directly under the Central Government, the courts-martial of the People's Liberation Army, the military procuratorates, the Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uigur Autonomous Region, the people's procuratorates and bureaus of public security of Xinjiang Production and Construction Corps, and the regulatory offices of China Securities Regulatory Commission in all provinces, autonomous regions, municipalities directly under the Central Government and municipalities under the separate state planning: 国务院办公厅《关于严厉打击非法发行股票和非法经营证券业务有关问题的通知》（国办发[2006]99号，以下简称“国办发99号文”）和国务院《关于同意建立整治非法证券活动协调小组工作制度的批复》（国函[2007]14号）下发后，整治非法证券活动协调小组（以下简称“协调小组”）各成员单位和地方人民政府高度重视，周密部署，重点查处了一批大案要案，初步遏制了非法证券活动的蔓延势头，各类非法证券活动新发量明显减少，打击非法证券活动工作取得了明显成效，相当一部分案件已进入司法程序。 After the Circular of the General Office of the State Council on the Relevant Issues on the Strict Crackdown on Unlawful Issuance of Stocks and Unlawful Operation of Securities Business (No. 99 [2006] of the General Office of the State Council, the "Document No.99 of the State Council") and the Official Reply of the State Council on Agreeing to Set up the Working System of Coordination Panel for the Suppression of Unlawful Securities Activities (No. 14 [2007] of the State Council) were promulgated, all members of the Coordination Panel for the Suppression of unlawful Securities Activities (the "Coordination Panel") and the local people's governments have attached great importance to it, made meticulous arrangements, investigated a batch of major and serious cases, and curb the trend of rampancy of unlawful securities activities in advance, the number of new happenings of various unlawful securities activities has evidently decreased, obvious results have been accomplished in the crackdown on unlawful securities activities, and a large portion of cases have entered the judicial procedures. 但在案件办理过程中，相关单位也遇到了一些分工协作、政策法律界限不够明确等问题。 But, in the case-handling process, the relevant units have confronted some issues on the ambiguous division of work and cooperation and boundaries in policy and law. 为此，协调小组专门召开会议对这些问题进行了研究。根据协调小组会议精神，现就打击非法证券活动工作中的有关问题通知如下： Thus, the Coordination Panel specially convoked a meeting to discuss these issues., The relevant issues on the crackdown on unlawful securities activities are hereby informed to you as follows in the spirit of the meeting of the Coordination Panel: 一、 统一思想，高度重视非法证券类案件办理工作 I. Unifying ideas and attaching great importance to coping with unlawful securities cases. 非法证券活动是一种典型的涉众型的违法犯罪活动，严重干扰正常的经济金融秩序，破坏社会和谐与稳定。从近期办理的一些案件看，非法证券活动具有以下特征： The illegal securities activities are a typical kind of activities of legal violations and crimes covering the mass, severely destroy the normal economic and financial order, and ruin the social harmony and stability. The illegal securities activities undertake the following characteristics in view of some cases handled recently: 一是按照最高人民检察院、公安部《关于经济犯罪案件追诉标准的规定》（公发[2001]11号），绝大多数非法证券活动都涉嫌犯罪。 (1) Pursuant to the Rules on the Standards of Prosecution of Economic Crime Cases (No. 11 [2001] of the Ministry of Public Security)promulgated by the Supreme People's Procuratorate and Ministry of Public Security, the great majority of unlawful securities activities involve crimes. 二是花样不断翻新，隐蔽性强，欺骗性大，仿效性高。 (2) The unlawful securities activities go on being innovated in manners, with great hiddenness, deceptiveness and imitativeness. 三是案件涉及地域广，涉案金额大，涉及人员多，同时资产易被转移，证据易被销毁，人员易潜逃，案件办理难度大。 (3) The unlawful securities cases involve broad areas, large amounts and a great number of people, the assets are easily transferred, the evidence is easily ruined, the suspects can easily flee, and there is great difficulty in coping with cases. 四是不少案件涉及到境外资本市场，办理该类案件政策性强，专业水平要求高。 (4) Many cases involve the foreign capital markets, and the coping with of such cases involves strong policy considerations and needs a high level of specialty. 五是投资者多为离退休人员、下岗职工等困难群众，承受能力差，极易引发群体事件。 (5) Most investors are retirees, laid-off workers and other people in hardship with a poor sustainability, and mass events are very easily caused. 各有关部门要进一步统一思想，高度重视，充分认识此类违法犯罪活动的严重性、危害性，增强政治责任感，密切分工协作，提高工作效率，及时查处一批大案要案，维护法律法规权威，维护社会公平正义，维护投资者的合法权益。 All relevant authorities shall unify ideas, attach great importance to it, fully comprehend the seriousness and dangers of such activities of legal violations and crimes, enhance the sense of political responsibility, closely divide work and cooperate, elevate the work efficiency, timely investigate a batch of major and serious cases, keep the authority of laws and administrative regulations, guard the social fairness and justice, and safeguard the legal rights and interests of the investors. 二、 明确法律政策界限，依法打击非法证券活动 II. Clarifying legal and policy boundaries and legally cracking down on unlawful securities activities （一） 关于公司及其股东向社会公众擅自转让股票行为的性质认定。 1. Determination of the nature of transfer of stocks by a company or its shareholders to the members of general public without approval. 《证券法》第十条第三款规定：“非公开发行证券，不得采用广告、公开劝诱和变相公开方式。” Article 10(3) of the Securities Law offers that: "The non-public offering of securities shall not be in the manner of advertisement, public canvass or public offering in a disguised way." 国办发99号文规定：“严禁任何公司股东自行或委托他人以公开方式向社会公众转让股票。向特定对象转让股票，未依法报经证监会核准的，转让后，公司股东累计不得超过200人。” The Document No. 99 of the State Council offers that: "Any shareholder of a company shall be forbidden from transferring stocks to the members of general public in a public manner on its own or through an authorized person. Stocks are not reported to China Securities Regulatory Commission for approval, the number of shareholders of the company shall not surpass 200 in total after the transfer if stocks are transferred to specific objects," 公司、公司股东违反上述规定，擅自向社会公众转让股票，应当追究其擅自发行股票的责任。 The company or shareholder thereof shall be pursued for liability for issuance of stocks without approval if a company or its shareholder thereof transfers stocks to the members of general public without approval in violation of the above provisions. 公司与其股东合谋，实施上述行为的，公司与其股东共同承担责任。 The company shall assume the responsibility jointly with the shareholder thereof if a company and shareholder thereof conspire to commit the above violation, （二） 关于擅自发行证券的责任追究。 2. Liability for issuance of securities without approval. 未经依法核准，擅自发行证券，涉嫌犯罪的，依照《刑法》第一百七十九条之规定，以擅自发行股票、公司、企业债券罪追究刑事责任。 For the issuance of securities without being approved in accordance with law and involving a crime, the offender shall be pursued for criminal liability on charge of the crime of issuance of stocks or corporate or enterprise bonds without approvalin light of Article 179 of the Criminal Law. 未经依法核准，以发行证券为幌子，实施非法证券活动，涉嫌犯罪的，依照《刑法》第一百七十六条、第一百九十二条等规定，以非法吸收公众存款罪、集资诈骗罪等罪名追究刑事责任。 For the illegal securities activities without being approved in accordance with law, in the disguise of issuance of securities and involving a crime, the offender shall be pursued for criminal liability on charge of the crime of illegal absorption of savings from the general public or crime of fraudulent fundraising, pursuant to Articles 176 and 192 of the Criminal Law. 未构成犯罪的，依照《证券法》和有关法律的规定给予行政处罚。 The administrative punishment shall be imposed on the violator pursuant to the provisions of the Securities Law and relevant laws if the violation does not constitute a crime. （三） 关于非法经营证券业务的责任追究。任何单位和个人经营证券业务，必须经证监会批准。未经批准的，属于非法经营证券业务，应予以取缔；涉嫌犯罪的，依照《刑法》第二百二十五条之规定，以非法经营罪追究刑事责任。 3. Liability for unlawful operation of securities business. The operation of securities business by any entity or individual shall be subject to the approval of China Securities Regulatory Commission. The operation of securities business shall be unlawful and removed without such an approval,; the offender shall be pursued for criminal obligation on charge of the crime of unlawful business operation if a crime is involved, pursuant to Article 225 of the Criminal Law. 对于中介机构非法代理买卖非上市公司股票，涉嫌犯罪的，应当依照《刑法》第二百二十五条之规定，以非法经营罪追究刑事责任； For the unlawful trading of stocks in an unlisted company by an intermediary as an agent, involving a crime, the intermediary shall be pursued for criminal obligation on charge of the crime of illegal business operation, pursuant to Article 225 of the Criminal Law; 所代理的非上市公司涉嫌擅自发行股票，构成犯罪的，应当依照《刑法》第一百七十九条之规定，以擅自发行股票罪追究刑事责任。 the unlisted company shall be pursued for criminal liability on charge of the crime of issuance of stocks without approval, pursuant to Article 179 of the Criminal Law if the above unlisted company involves the issuance of stocks without approval, constituting a crime. 非上市公司和中介机构共谋擅自发行股票，构成犯罪的，以擅自发行股票罪的共犯论处。 They shall be pursued for criminal liability on charge of the crime of issuance of stocks without approval as accomplice if an unlisted company and intermediary conspire to issue stocks without approval, constituting a crime. 未构成犯罪的，依照《证券法》和有关法律的规定给予行政处罚。 The administrative punishment shall be imposed on the violator pursuant to the provisions of the Securities Law and relevant laws if the violation does not constitute a crime,. （四） 关于非法证券活动性质的认定。非法证券活动是否涉嫌犯罪，由公安机关、司法机关认定。公安机关、司法机关认为需要有关行政主管机关进行性质认定的，行政主管机关应当出具认定意见。 4. 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