Get the inside information of friends to buy stocks and lose more than 50,000 yuan in anti -losses, and the leaked and traders are both sentenced!

Our reporter Wu Xiaolu According to the Supreme Procuratorate on August 10, the Supreme People's Procuratorate recently released the third batch of typical cases of corporate compliance involved in the case. After that, the first typical case of corporate compliance involved in the case was released. There are 5 typical cases in this batch. One of them is securities crime cases, namely Wang Moumou's inside information and Jinmou's inside story transaction case. Wang Moumou traded the secretary of the company as a listed company, and leaked the reorganization plan of the listed company to his friend Jin Moumou. Jin Moumou sold more than 500,000 yuan after buying the stock of the listed company. It is reported that the procuratorial organs filed a proposal on a tender criminal during the prosecution and were adopted by the court. In the end, Wang Moumou was sentenced to 2 years in prison for leakage inside information, 2 years of probation, and a fine of RMB 100,000. RMB 200,000. The case is the first securities crime case in the country to carry out corporate compliance work involved in the case. The Supreme Procuratorate pointed out that relying on the pilot reform of the compliance reform of the enterprise involved, the inside information confidentiality and compliance management of the capital market's non -listed company information was strengthened, and the rule of law ecology of the capital market was conserved. The capital market is an information market plus confidence market, and improving inside information confidentiality and compliance management is an important manifestation of boosting investment confidence. However, the insider trading case is exposed. The lack of inside information management of the company's inside information will cause inside information to leak the risk of inside information and induce insider transactions. While disturbing the order of the securities market, it violates the legitimate rights and interests of investors. Especially as a non -listed company traded by listed companies, in the case of relatively weak administrative supervision, it should strengthen its own compliance management. A friend leaked the reorganization plan to buy stocks and finally obtained a reporter from the reporter. In the case, the defendant Wang Moumou was the deputy general manager and secretary of the board of directors. In December 2016, K Company intends to sell wholly -owned subsidiaries to the listed company Shenzhen C Technology Co., Ltd. (hereinafter referred to as "C Company"). On January 15, 2017, the actual controller of the K company Lu Moumou reached a cooperation intention with Zhang Moumou, then the then general manager of Company C. On February 9 of the same year, the two parties officially signed the "Acquisition Intent Agreement". In the afternoon of the same day, Company C reported to the Shenzhen Stock Exchange and began to suspend trading the next day. On April 7 of the same year, Company C issued a resumption announcement, announcing that the asset reorganization was terminated with company K. According to the China Securities Supervision and Administration Commission, the above -mentioned acquisition matters belong to the insider information before disclosure, and the inside information sensitive period is from January 15 to April 7, 2017. As the secretary of the board of directors of the company, Wang Moumou began to know the reorganization plan, participated in the reorganization matters, and was a familiar with the inside information. On December 9, 2016 and February 9, 2017, Wang Moumou twice leaked the reorganization plan and time process to his friend Jinmoumou. After obtaining inside information, Jin Moumou made an urgent funding on February 9, 2017, and used his securities account to buy 83,700 shares of Company C, and the transaction amount was more than 4.11 million yuan. Kim's total loss of more than 50,000 yuan. On August 10, 2021, the Beijing Public Security Bureau was transferred to the Second Branch of the Beijing Procuratorate (hereinafter referred to as the "Beijing Prosecutor's Second Branch") for insider trading for insider trading. During the review and prosecution, the Beijing Prosecutor's Second Branch carried out corporate compliance work on the company. Gold's sentencing proposal signed a confession and confession for a penalty with the second defendant. On December 30, 2021, the Beijing Procuratorate Second Branch filed a public prosecution on Wang Moumou and Jin Moumou for leakage inside information and insider trading. On January 28, 2022, the Beijing Second Intermediate Court made a first -instance judgment to recognize the procuratorial organs accusing the facts and charges. It is believed that the compliance work carried out by the procuratorial organs is conducive to promoting the legal and regulatory operation of the enterprise, optimizing the business environment. Taking into account as appropriate, it adopts the sentencing proposal proposed by the Beijing Prosecutor's Second Branch, and sentences Wang Mou to 2 years in prison for leakage inside information, 2 years of probation, and a fine of RMB 100,000. Two years in prison, suspended 2 years, and fined RMB 200,000. Taking the inside information confidentiality compliance as an opportunity to promote the transformation of the corporate governance structure involved in the case. According to the person in charge of the Fourth Procuratorate of the Supreme Procuratorate, in the handling of this case, the procuratorial organs comprehensively considers the two defendants to surrender, confessing penalties, not profitable, not other investments that have not caused other investment People losses, the administrative penalties of the CSRC have been accepted, and paid a fine, and the joint reform situation. When the prosecution was filed, the two defendants proposed the two defendants and was adopted by the court. Supreme Procuratorate stated that the suspect in this case may be sentenced to more than 3 years in prison, but it has an incompetent role in the business activities of the enterprise involved. Simplified prosecution and sentences are not conducive to the normal operation and development of the enterprise involved in the case, and the enterprise has a strong coincidence Rules. The procuratorial organs have made full use of effective measures for compliance work in the three main procedures of investigation, prosecution and trial. Through carefully adopting compulsory measures in the investigation procedure, promoting special compliance rectifications in the review and prosecution session, and based on complaints based on complaints. Regular and modified situation proposes a gentle sentencing proposal, integrates compliance work in the three main procedures, and makes useful explorations on how to apply compliance reforms in comparison cases.

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