Punishment and Conviction in Recent Insider Trading Cases

作者/编者:Chang Junfeng, Gan Yulai and Deng Zhe
作者单位:金杜律师事务所
创作年代:2017
出处/来源:金杜律师事务所
学科分类:经济法学
所属机构:金杜律师事务所
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摘要

Insider trading had always been the closely focused subject of the China Securities Regulatory Commission (the “CSRC”) in the recent years. In 2017, it became the top priority of the CSRC. According to the Bulletin of the China Securities Regulatory Commission Regarding Cases Handled in H1 2017, in the first half of 2017, the CSRC launched a total of 302 preliminary/formal investigations, 140 of which were new insider trading cases, making up 46% of the total number of investigations. Among these new insider trading cases, the CSRC initiated preliminary investigations into 104 of them and filed formal investigations into 36. In addition, on 7 July 2017, the CSRC issued the third batch of cases under investigation, with a heavy focus placed on insider trading. This article will analyze the new features in recent insider trading cases, administrative penalty on insider trading cases in the first eight months of 2017 and transfer to criminal prosecution and conviction of recent cases.

关键词: Insider Trading ; China Securities Regulatory Commission; Administrative Penalty; Criminal Prosecution

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