中(zhong)證(zheng)(zheng)網訊（記(ji)者 李(li)夢揚(yang)）近日(ri)，上(shang)海(hai)市(shi)第一中(zhong)級人民(min)法(fa)院（簡稱“上(shang)海(hai)一中(zhong)院”）舉(ju)行證(zheng)(zheng)券期(qi)貨犯(fan)罪審(shen)判白(bai)皮書新聞(wen)發(fa)布(bu)會，發(fa)布(bu)4本審(shen)判白(bai)皮書，涉及內線交易類(lei)、虛假陳述類(lei)、操縱市(shi)場類(lei)證(zheng)(zheng)券期(qi)貨犯(fan)罪以及涉證(zheng)(zheng)券期(qi)貨類(lei)非(fei)法(fa)經營犯(fan)罪，向社會通(tong)報10年(nian)來該(gai)院依法(fa)審(shen)理(li)的證(zheng)(zheng)券期(qi)貨犯(fan)罪案件情況，發(fa)布(bu)15件典型案例。

白(bai)皮書顯(xian)示，2014年1月1日(ri)至2023年12月31日(ri)，上(shang)海一中(zhong)院(yuan)及轄區法院(yuan)審結(jie)證券(quan)期貨犯(fan)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)209件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，其(qi)中(zhong)內幕(mu)交易(yi)、泄露內幕(mu)信息犯(fan)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)22件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，利用未公開(kai)信息交易(yi)犯(fan)罪(zui)(zui)41件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，欺詐發行債券(quan)犯(fan)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)5件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，出具證明文件(jian)(jian)(jian)(jian)(jian)(jian)(jian)重大失實犯(fan)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)2件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，操縱證券(quan)市場(chang)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)14件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，操縱期貨市場(chang)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)1件(jian)(jian)(jian)(jian)(jian)(jian)(jian)，非法經營證券(quan)期貨犯(fan)罪(zui)(zui)案(an)(an)(an)件(jian)(jian)(jian)(jian)(jian)(jian)(jian)124件(jian)(jian)(jian)(jian)(jian)(jian)(jian)。

上海一中院表示，案件反映的主要問題包括：上市公司內控機制不健全。如在操縱證券、期貨市場犯罪中，部分上市公司實控人與專業操盤團伙相勾結，主動策劃操縱自家公司股價；中介機(ji)構“看門人(ren)”職責失職缺位。如在證(zheng)券虛(xu)假(jia)陳述(shu)(shu)犯罪中，部分中介機(ji)構從業(ye)人(ren)員欠缺職業(ye)操守，出具與(yu)實際不符的審(shen)計報告或者虛(xu)假(jia)證(zheng)明文(wen)件，利用專業(ye)優(you)勢(shi)為他人(ren)虛(xu)假(jia)陳述(shu)(shu)積極出謀劃策等；行刑銜接機制有待完善。以(yi)(yi)操縱證券期貨市(shi)場犯罪為(wei)例，從行政調查到(dao)刑事(shi)審判的時間普(pu)遍在三年以(yi)(yi)上，一定程(cheng)度導致刑事(shi)懲治不夠及時。

針對上述問題，上海一中院提出如下對策建議：進一步加強企業合規工作。堅持治罪與治理并重，敏銳發現企業治理漏洞，落實企業合規整改常態化機制，以個案合規帶動行業合規；進一步加大懲(cheng)治處(chu)罰(fa)力度。全鏈條、全方位從(cong)嚴懲(cheng)治證(zheng)券期(qi)貨犯(fan)罪，嚴格(ge)把握緩(huan)刑適用條件，激活證(zheng)券從(cong)業(ye)禁(jin)止制度，向市(shi)場釋放“零容忍”的明確信號；進一步暢通(tong)行刑銜(xian)接(jie)機制。與證(zheng)券(quan)監管(guan)部門加(jia)強(qiang)合作(zuo)，搭建(jian)多方協作(zuo)平臺，實現信息共享、案情通(tong)報(bao)、案件(jian)移送(song)功能一體化。