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【锐评】卞永祖:铲除证券行业的“黑嘴”现象,净化资本市场环境

来源: 南方日报网络版     时间: 2019年08月19日 09:52:48
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时时彩返点1990是多少平台直招龙虎代理客服QQ【3514565791】诚招代理【在线开户网址um996.com】龙虎和龙虎1赔2.211合1赔9.95,定位胆1赔9.95腾讯分分彩,5分,10分彩,最高返水100反9快,最高赔率,正规信誉大平台平台24h提供注册及登录。【锐评】卞永祖:铲除证券行业的“黑嘴”现象,净化资本市场环境

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(原)(标)(题)(:【锐)(评)(】卞)(永)(祖)(:铲)(除)(证)(券)(行)(业)(的)(“黑)(嘴)(”现)(象)(,净)(化)(资)(本)(市)(场)(环)(境)(
本)(文)(大)(概)(1500字)(,读)(完)(共)(需)(2分)(钟)(
作)(者)(卞)(永)(祖)(系)(中)(国)(人)(民)(大)(学)(重)(阳)(金)(融)(研)(究)(院)(研)(究)(员)(,本)(文)(刊)(于)(5月)(10日)(法)(制)(网)(。
5月)(6日)(,证)(监)(会)(又)(开)(出)(了)(巨)(额)(罚)(单)(,不)(同)(于)(以)(往)(,这)(次)(的)(处)(罚)(对)(象)(是)(一)(名)(证)(券)(节)(目)(主)(持)(人)(。行)(政)(处)(罚)(决)(定)(书)(显)(示)(,廖)(英)(强)(利)(用)(其)(知)(名)(证)(券)(节)(目)(主)(持)(人)(的)(影)(响)(力)(向)(公)(众)(推)(荐)(股)(票)(,自)(己)(则)(在)(推)(荐)(前)(使)(用)(其)(控)(制)(的)(账)(户)(组)(买)(入)(相)(关)(股)(票)(,并)(在)(荐)(股)(后)(的)(下)(午)(或)(次)(日)(集)(中)(卖)(出)(获)(取)(暴)(利)(。证)(监)(会)(决)(定)(对)(廖)(英)(强)(没)(收)(违)(法)(所)(得)(4300万)(元)(,并)(处)(8600万)(元)(罚)(款)(,合)(计)(1.29亿)(元)(。
证)(券)(节)(目)(主)(持)(人)(廖)(英)(强)(被)(罚)(没)(1.29亿)(
其)(实)(所)(谓)(的)(黑)(嘴)(现)(象)(,在)(证)(券)(行)(业)(一)(直)(存)(在)(,尤)(其)(是)(随)(着)(互)(联)(网)(的)(发)(展)(,各)(种)(股)(神)(、名)(嘴)(活)(跃)(于)(网)(络)(、荧)(屏)(,为)(股)(民)(授)(业)(解)(惑)(并)(推)(荐)(股)(票)(,确)(实)(获)(得)(不)(少)(的)(拥)(趸)(。比)(如)(,2007年)(曾)(经)(红)(极)(一)(时)(的)(“带)(头)(大)(哥)(”,就)(因)(为)(在)(QQ群)(里)(面)(推)(荐)(股)(票)(被)(捕)(入)(狱)(,其)(2010年)(出)(狱)(后)(仍)(然)(高)(调)(宣)(称)(自)(己)(是)(散)(户)(的)(保)(护)(神)(。对)(于)(这)(种)(乱)(象)(,监)(管)(层)(不)(是)(没)(有)(觉)(察)(,2017年)(2月)(10日)(,中)(国)(证)(监)(会)(主)(席)(刘)(士)(余)(在)(全)(国)(证)(券)(期)(货)(工)(作)(监)(管)(会)(议)(上)(点)(名)(批)(评)(“黑)(嘴)(”称)(,有)(些)(券)(商)(的)(分)(析)(师)(“语)(不)(惊)(人)(死)(不)(休)(”。可)(见)(,社)(会)(上)(对)(于)(黑)(嘴)(带)(来)(的)(危)(害)(是)(有)(目)(共)(睹)(的)(。
早)(在)(1997年)(由)(国)(务)(院)(、国)(务)(院)(证)(券)(委)(员)(会)(发)(布)(的)(《证)(券)(、期)(货)(投)(资)(咨)(询)(管)(理)(暂)(行)(办)(法)(》,以)(及)(证)(监)(会)(、广)(电)(总)(局)(于)(2006年)(发)(布)(的)(《关)(于)(规)(范)(证)(券)(投)(资)(咨)(询)(机)(构)(和)(广)(播)(电)(视)(证)(券)(节)(目)(的)(通)(知)(》里)(都)(对)(证)(券)(、期)(货)(的)(咨)(询)(人)(员)(的)(业)(务)(能)(力)(、职)(业)(道)(德)(提)(出)(了)(明)(确)(要)(求)(,同)(时)(规)(定)(咨)(询)(机)(构)(在)(参)(与)(广)(播)(电)(视)(证)(券)(节)(目)(开)(展)(证)(券)(咨)(询)(业)(务)(时)(,不)(得)(宣)(传)(过)(往)(荐)(股)(业)(绩)(、产)(品)(、咨)(询)(机)(构)(和)(人)(员)(的)(能)(力)(,不)(得)(传)(播)(虚)(假)(、片)(面)(和)(误)(导)(性)(信)(息)(,不)(得)(在)(证)(券)(节)(目)(中)(播)(出)(客)(户)(招)(揽)(内)(容)(。
但)(是)(仍)(然)(有)(这)(么)(多)(的)(股)(市)(“黑)(嘴)(”前)(赴)(后)(继)(,甚)(至)(成)(为)(我)(国)(证)(券)(行)(业)(文)(化)(的)(一)(部)(分)(,很)(大)(的)(原)(因)(在)(于)(我)(们)(相)(关)(的)(法)(律)(法)(规)(对)(于)(这)(种)(现)(象)(的)(打)(击)(不)(够)(明)(确)(,而)(投)(资)(者)(在)(上)(当)(受)(骗)(后)(,维)(权)(的)(途)(径)(也)(很)(少)(,从)(而)(使)(得)(他)(们)(从)(事)(违)(法)(犯)(罪)(行)(为)(的)(风)(险)(不)(大)(。2011年)(信)(达)(证)(券)(发)(布)(了)(研)(究)(报)(告)(《中)(国)(宝)(安)(:石)(墨)(烯)(让)(股)(价)(飞)(》力)(捧)(中)(国)(宝)(安)(股)(票)(,湘)(财)(证)(券)(、中)(国)(平)(安)(、国)(泰)(君)(安)(也)(出)(台)(了)(类)(似)(报)(告)(。这)(些)(报)(告)(虽)(然)(后)(来)(均)(被)(证)(明)(内)(容)(虚)(假)(,不)(过)(因)(为)(众)(多)(券)(商)(意)(见)(一)(致)(并)(且)(不)(乏)(国)(泰)(君)(安)(这)(样)(的)(知)(名)(机)(构)(,所)(以)(上)(当)(者)(众)(。之)(后)(也)(有)(律)(师)(对)(上)(述)(券)(商)(提)(出)(了)(诉)(讼)(赔)(偿)(的)(请)(求)(,但)(最)(终)(被)(法)(院)(驳)(回)(。
当)(然)(我)(国)(股)(市)(里)(面)(散)(户)(占)(主)(导)(的)(现)(实)(,也)(给)(“黑)(嘴)(”的)(产)(生)(提)(供)(了)(土)(壤)(。散)(户)(所)(共)(有)(的)(特)(点)(就)(是)(获)(取)(上)(市)(公)(司)(信)(息)(的)(方)(式)(少)(,难)(以)(对)(公)(司)(的)(发)(展)(前)(景)(以)(及)(经)(营)(状)(况)(进)(行)(深)(入)(分)(析)(,往)(往)(容)(易)(相)(信)(公)(司)(讲)(的)(“故)(事)(”,热)(衷)(于)(炒)(作)(概)(念)(,趋)(势)(交)(易)(行)(为)(的)(特)(征)(明)(显)(,在)(涨)(跌)(过)(程)(中)(容)(易)(形)(成)(“羊)(群)(效)(应)(”,也)(为)(“黑)(嘴)(”们)(带)(来)(了)(机)(会)(。
但)(是)(,我)(国)(股)(市)(的)(这)(种)(结)(构)(中)(短)(期)(内)(不)(可)(能)(得)(到)(根)(本)(改)(变)(,因)(此)(唯)(有)(对)(“黑)(嘴)(”们)(进)(行)(更)(大)(的)(惩)(罚)(,否)(则)(难)(以)(让)(他)(们)(收)(敛)(。在)(除)(了)(加)(大)(罚)(款)(力)(度)(,让)(他)(们)(吐)(出)(非)(法)(获)(利)(之)(外)(,更)(重)(要)(的)(是)(切)(断)(他)(们)(继)(续)(非)(法)(活)(动)(的)(渠)(道)(和)(空)(间)(,比)(如)(禁)(止)(他)(们)(终)(身)(继)(续)(从)(事)(证)(券)(业)(相)(关)(的)(所)(有)(活)(动)(,包)(括)(证)(券)(节)(目)(主)(持)(人)(这)(样)(的)(工)(作)(。对)(于)(涉)(及)(金)(额)(巨)(大)(者)(,更)(应)(该)(承)(担)(一)(定)(的)(刑)(事)(责)(任)(。
另)(外)(,加)(大)(投)(资)(者)(尤)(其)(是)(中)(小)(投)(资)(者)(的)(保)(护)(也)(非)(常)(必)(要)(。中)(国)(有)(1.2亿)(散)(户)(,事)(关)(上)(亿)(家)(庭)(数)(亿)(人)(的)(切)(身)(利)(益)(。监)(管)(部)(门)(应)(该)(完)(善)(中)(小)(投)(资)(者)(的)(救)(济)(方)(式)(,尤)(其)(是)(明)(确)(他)(们)(的)(投)(诉)(途)(径)(,支)(持)(他)(们)(的)(合)(理)(诉)(求)(。更)(重)(要)(的)(是)(要)(完)(善)(中)(小)(投)(资)(者)(的)(索)(赔)(机)(制)(,根)(据)(我)(国)(的)(具)(体)(情)(况)(,相)(关)(部)(门)(要)(尽)(快)(落)(实)(关)(于)(内)(幕)(交)(易)(、操)(纵)(市)(场)(行)(为)(的)(民)(事)(赔)(偿)(的)(司)(法)(解)(释)(,对)(于)(投)(资)(者)(的)(资)(格)(认)(定)(、举)(证)(责)(任)(及)(损)(失)(范)(围)(、损)(失)(的)(计)(算)(依)(据)(、计)(算)(标)(准)(等)(做)(出)(详)(细)(规)(定)(。从)(司)(法)(救)(济)(的)(角)(度)(,支)(持)(投)(资)(者)(依)(法)(维)(权)(索)(赔)(,引)(导)(发)(挥)(中)(小)(投)(资)(者)(在)(索)(赔)(事)(件)(中)(的)(能)(动)(性)(,完)(善)(我)(国)(资)(本)(市)(场)(法)(律)(体)(系)(。
成)(熟)(高)(效)(的)(资)(本)(市)(场)(是)(现)(代)(经)(济)(体)(系)(的)(重)(要)(组)(成)(部)(分)(,也)(是)(我)(国)(软)(实)(力)(以)(及)(在)(国)(际)(金)(融)(体)(系)(内)(话)(语)(权)(的)(重)(要)(支)(撑)(,其)(重)(要)(前)(提)(之)(一)(就)(是)(让)(像)(“黑)(嘴)(”这)(样)(的)(违)(法)(违)(规)(行)(为)(不)(敢)(发)(生)(,即)(使)(发)(生)(也)(会)(受)(到)(严)(厉)(惩)(罚)(。这)(次)(廖)(英)(强)(的)(巨)(额)(罚)(款)(对)(于)(大)(多)(数)(人)(来)(说)(都)(是)(天)(文)(数)(字)(,但)(是)(其)(本)(人)(的)(回)(应)(却)(是)(无)(所)(谓)(,可)(见)(我)(国)(资)(本)(市)(场)(环)(境)(的)(净)(化)(仍)(然)(任)(重)(道)(远)(。
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