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No. 6 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Li and Other Two Persons (Case about dispute over insider trading)
最高人民检察院发布6起依法查处金融犯罪典型案例之六:李某等三人内幕交易案
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No. 6 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Li and Other Two Persons (Case about dispute over insider trading)
(Case about dispute over insider trading)
最高人民检察院发布6起依法查处金融犯罪典型案例之六:李某等三人内幕交易案
No. 6 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Li and Other Two Persons for Insider Trading 最高人民检察院发布6起依法查处金融犯罪典型案例之六:李某等三人内幕交易案
Defendant surnamed Li was a director and secretary of the board of directors of a listed company. On June 23, 2012, the actual controller of the listed company convened the chairman of the board of the company, director surnamed Li, and other senior executives to hold an informal meeting, on which he required that the company should complete the asset optimization and restructuring within a prescribed time limit. After the meeting, the chairman of the board of the company instructed that the restructuring progress be accelerated and Li prepare the relevant materials for the listed company's application for suspension of trading. On July 6, 2012, due to material asset restructuring matters, the listed company applied to the Shenzhen Stock Exchange for suspension of trading and the trading of its securities was temporarily suspended from the opening on that day; on November 5 of the same year, the listed company resumed trading and issued a plan for nonpublic offerings. 被告人李某担任某上市公司董事兼董事会秘书。2012年6月23日,该上市公司实际控制人召集公司董事长及董事李某等高管人员召开非正式会议,要求公司必须在限定期限内完成资产优化重组。会后,公司董事长指示要加快推进重组进度,并让李某准备上市公司申请停牌的相关资料。2012年7月6日,该上市公司因重大资产重组事项向深圳证券交易所申请停牌,公司证券于当日开市起临时停牌;同年11月5日,公司复牌并发布非公开发行股票预案。
...... 2012年6月23日会议确定的公司限期内完成资产优化重组事项在公开披露前属于证券法规定的内幕信息,2012年6月23日至同年11月5日为内幕信息敏感期。被告人李某作为该上市公司董事、董事会秘书,属于证券法规定的内幕信息知情人员。
 ......

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