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No. 1 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Ma Le （Case about dispute over trading by making use of information）
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最高人民检察院发布6起依法查处金融犯罪典型案例之一：马乐利用未公开信息交易案
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No. 1 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Ma Le （Case about dispute over trading by making use of information）
（Case about dispute over trading by making use of information）
最高人民检察院发布6起依法查处金融犯罪典型案例之一：马乐利用未公开信息交易案
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| No. 1 of Six Model Cases regarding Investigation into Financial Crimes Published by the Supreme People's Procuratorate: People v. Ma Le for Trading by Making Use of Nonpublic Information | | 最高人民检察院发布6起依法查处金融犯罪典型案例之一：马乐利用未公开信息交易案 |
| From March 2011 to May 2013, defendant in the original trial, Ma Le, served as the manager of selected Bosera stock and security investment funds under Bosera Asset Management Co., Ltd., fully responsible for the market of investment funds and investment stocks. He mastered nonpublic information other than such insider information as the underlying stocks in the trading of selected Bosera stock and security investment funds, the trading time points, and the trading volume. During the term of office, by making using of the aforesaid nonpublic information, Ma Le operated the three stock accounts of “Jin,” “Yan Jin (with middle name withheld),” and “Yan Wen (with middle name withheld)” under his control, placed orders through anonymous Easy-own phone cards, and engaged in corresponding stock trading activities. He bought 76 same stocks prior to, at the same time of, or a little latter than the buying in the fund accounts under his control, with the accumulated turnover of 1.05 billion yuan and illegal gains of 18,833,374.74 yuan. | | 2011年3月至2013年5月期间，原审被告人马乐担任博时基金管理有限公司旗下博时精选股票证券投资基金经理，全权负责投资基金投资股票市场，掌握了博时精选股票证券投资基金交易的标的股票、交易时点和交易数量等内幕信息以外的其他未公开信息。马乐在任职期间利用上述未公开信息，操作自己控制的“金某”、“严某进”、“严某雯”三个股票账户，通过不记名神州行电话卡下单，从事相关证券交易活动，先于、同期或稍晚于其管理的基金账户，买入相同股票76只，累计成交额人民币10.5亿余元，非法获利人民18833374.74元。 |
| ．．．．．． | | 2013年6月27日，原审被告人马乐到中国证券监督管理委员会深圳监管局接受调查，交代了有关问题。2013年7月17日，原审被告人马乐到深圳市公安局投案。广东省深圳市人民检察院于2013年12月26日指控被告人马乐犯利用未公开信息交易罪向深圳市中级人民法院提起公诉。深圳市中级人民法院于2014年3月24日作出一审判决，认定被告人马乐犯利用未公开信息交易罪，判处有期徒刑三年，缓刑五年，并处罚金人民币1884万元；违法所得予以追缴。深圳市人民检察院于2014年4月4日以适用法律错误、量刑不当为由提出抗诉，广东省人民检察院支持抗诉。广东省高级人民法院于2014年10月20日作出终审裁定，驳回抗诉，维持原判。广东省人民检察院认为终审裁定确有错误，于2014年11月27日提请最高人民检察院抗诉。最高人民检察院认为终审裁定适用法律确有错误，导致量刑不当，于2014年12月8日向最高人民法院提出抗诉。2015年7月8日，最高人民法院在第一巡回法庭公开开庭审理本案，最高人民检察院依法派员出庭支持抗诉。 |
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