Page 48 - 期货和衍生品行业监管动态（2024年5月）

期货和衍生品行业监管动态

境内资讯

 金融监管机构 Financial Regulatory Authority

1. “长牙带刺”“严监严管”证监会持续加大证券期货违法行为打击力度——

中国证监会 2023 年执法情况综述（2024 年 5 月 15 日）

2023 年，证监会从实查办新型违法案件，如依法查办某些团伙利用场外个

股期权等金融衍生品放大操纵收益，部分人员对 LOF 基金、可转债等品种实施

操纵的违法行为。积极配合公安机关查办不法团伙利用远程操控软件隐藏交易痕

迹、快速卖出清仓式砸盘出货，牟取巨额非法利益的操纵市场违法行为。加大对

私募、期货违法的执法力度。2023 年办理私募、期货案件 29 件，违法类型包括

挪用基金财产、违反投资者适当性制度、违规承诺收益、违规投资运作、未按规

定披露信息等，紧盯相关涉风险案件，如某期货公司未履行对子公司的管理职责，

未真实、准确、完整报送信息，涉嫌从事非法金融活动，证监会及时对上述案件

立案查处。

“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,

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