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People's Procuratorate of Ningbo City, Zhejiang Province v. Ningbo Libaidai Investment Consulting Co., Ltd., Chen Zongwei, Wang Wenze and Zheng Chunzhong (A case about illegal business operation)
浙江省宁波市人民检察院诉宁波利百代投资咨询有限公司、陈宗纬、王文泽、郑淳中非法经营案
【法宝引证码】

People’s Procuratorate of Ningbo City, Zhejiang Province v. Ningbo Libaidai Investment Consulting Co., Ltd., Chen Zongwei, Wang Wenze and Zheng Chunzhong (A case about illegal business operation)
(A case about illegal business operation)
浙江省宁波市人民检察院诉宁波利百代投资咨询有限公司、陈宗纬、王文泽、郑淳中非法经营案

People's Procuratorate of Ningbo City, Zhejiang Province v. Ningbo Libaidai Investment Consulting Co., Ltd., Chen Zongwei, Wang Wenze and Zheng Chunzhong

 

浙江省宁波市人民检察院诉宁波利百代投资咨询有限公司、陈宗纬、王文泽、郑淳中非法经营案

(A case about illegal business operation) 【裁判摘要】

 行为人为非法经营证券业务而设立公司,超越工商行政管理部门核准登记的公司经营范围,未经法定机关批准,向不特定的社会公众代理销售非上市股份有限公司的股权(股票),其行为属未经批准非法经营证券业务、扰乱国家证券市场的非法经营行为,情节严重的,应当以非法经营罪定罪处罚。

 
BASIC FACTS 公诉机关:浙江省宁波市人民检察院。

Public Prosecution Organ: People's Procuratorate of Ningbo City, Zhejiang Province.

 被告单位:宁波利百代投资咨询有限公司。
Defendant: Ningbo Libaidai Investment Consulting Co., Ltd., domiciled at: Kaiming Road, Haishu District, Ningbo City, Zhejiang Province. 被告人:陈宗纬。
Defendant: Chen Zongwei, male, 42, former general manager of Ningbo Libaidai Investment Consulting Co., Ltd. 被告人:王文泽。
Defendant: Wang Wenze, male, 31, former chairman of the board of directors of Ningbo Libaidai Investment Consulting Co., Ltd. 被告人:郑淳中。
Defendant: Zheng Chunzhong, male, 27, former deputy general manager of Ningbo Libaidai Investment Consulting Co., Ltd. 
PROCEDURAL POSTURE 浙江省宁波市人民检察院以被告单位宁波利百代投资咨询有限公司(以下简称利百代公司)及被告人陈宗纬、王文泽、郑淳中犯非法经营罪,向浙江省宁波市中级人民法院提起公诉。
The People's Procuratorate of Ningbo City, Zhejiang Province instituted a public prosecution in the Intermediate People's Court of Ningbo City, Zhejiang Province against Ningbo Libaidai Investment Consulting Co., Ltd. (hereinafter referred to as “Libaidai Company”), Cheng Zongwei, Wang Wenze and Zheng Chunzhong for the crime of illegal business operation. 起诉书指控:被告人陈宗纬、王文泽、郑淳中在分别担任被告单位利百代公司总经理、董事长、副总经理期间,自2003年 12月起,指令该公司业务员推销未上市股份有限公司的股票,并谎称所推销的原始股、股票短期内即可上市,非法从事未上市股份有限公司的股票销售业务。至2004年 11月底,利百代公司向陈建红等30人销售陕西阳光生物工程股份有限公司股票22.9万股;向陈毓琴等39人销售西部世纪软件股份有限公司股票21.8万股;向邵海萍等 87人销售西安圣威科技实业股份有限公司股票90.85万股;向王宝兰等60人销售陕西中科航天农业发展股份有限公司股票 53.3万股。总计销售未上市股份有限公司股票达188.85万股,销售总金额达人民币 657万余元。利百代公司为牟取非法利益,未经国家有关主管部门批准非法经营证券业务,其行为已构成非法经营罪,且系单位犯罪;陈宗纬、王文泽、郑淳中作为利百代公司单位犯罪行为直接负责的主管人员和直接责任人员,其行为亦构成非法经营罪。提请法院依法惩处。
According to the indictment, from December 2003, the defendants, Chen Zongwei, Wang Wenze and Zheng Chunzhong, as the general manager, chairman of the board of directors and deputy general manager of Libaidai Company respectively, instructed the salespersons of this company to market stocks of unlisted joint-stock companies by falsely claiming that such stocks would be listed soon, i.e. to illegally sell stocks of unlisted joint-stock companies. By the end of November 2004, Libaidai Company had sold 229,000 shares of Shaanxi Yangguang Biological Engineering Co., Ltd. to 30 persons (Chen Jianhong et al.), 218,000 shares of Westerasoft Co., Ltd. to 39 persons (Chen Yuqin et al.), 908,500 shares of Xi'an Shengwei Technology Industry Co., Ltd. to 87 persons (Shao Haiping et al.) and 533,000 shares of Shaanxi Zhongke Space Agricultural Development Co., Ltd. to 60 persons (Wang Baolan et al.). In total, Libaidai Company had sold 1,888,500 shares of unlisted companies with the gross sales revenue up to 6,570,000 yuan. To obtain illegal gains, Libaidai Company illegally operated the securities business without the approval of the relevant authority of China, which constituted the crime of illegal business operation. As the principal directly in charge and directly liable persons, Chen Zongwei, Wang Wenze and Zheng Chunzhong also committed the crime of illegal business operation, together with Libaidai Company. The public prosecution organ requested the court to punish them according to law. 被告单位利百代公司,被告人陈宗纬、王文泽、郑淳中及其辩护人均辩称:被告单位及三被告人从事的是正常的产权(股权)代理转让业务,并非经营证券业务,从事非上市股份有限公司的股权转让业务并不等于非法经营证券业务。非上市股份有限公司按照法律规定也有权转让股权,也可以在依法成立的产权交易机构挂牌。被告单位经授权后为涉案非上市股份有限公司披露信息、推介转让股权,是合法的经营行为。被告单位被处罚后,又经工商管理部门核准增加了“代办产权交易申请手续”的经营范围,继续从事股权代理转让业务,是基于对工商管理部门的信赖。综上,被告单位及三被告人的行为不构成非法经营罪,公诉机关指控的罪名不能成立。
...... 宁波市中级人民法院一审查明:
 2003年12月,被告人陈宗纬、王文泽、郑淳中为从事非上市股份有限公司股票代理销售业务,注册设立被告单位利百代公司,陈宗纬、王文泽、郑淳中分别担任该公司的总经理、董事长、副总经理。该公司经工商管理部门核准的经营范围为:实业项目投资策划、咨询,会计业务咨询,企业管理咨询,企业股份制改造,企业转制策划、咨询。
 被告单位利百代公司成立后,被告人陈宗纬、王文泽、郑淳中即通过由台湾人周文龙、萧元才等人设立的南京聪泰投资管理有限公司,为在陕西省设立的陕西阳光生物工程股份有限公司、西部世纪软件股份有限公司、西安圣威科技实业股份有限公司、陕西中科航天农业发展股份有限公司等4家非上市股份有限公司代理销售股票,并与南京聪泰投资管理公司协商确定了每股对外销售价格及内部交割价。三被告人对外谎称上述非上市股份有限公司的股票短期内即可上市并可获取高额的原始股回报,指使其公司业务员向不特定社会群众推销上述非上市股份有限公司的股票。2004年3月30日,宁波市工商行政管理局以该公司从事此项业务超出核准登记的经营范围为由,作出责令改正并罚款人民币1万元的处罚决定。同年4月,该公司经核准增加了“代办产权交易申请手续”的经营范围,继续代理销售上述非上市股份有限公司的股票。
 至2004年11月底,被告单位利百代公司在被告人陈宗纬、王文泽、郑淳中操控下,以每股人民币3.2元的价格向陈建红等30人销售陕西阳光生物工程股份有限公司股票22.9万股;以每股人民币3元的价格向陈毓琴等39人销售西部世纪软件股份有限公司股票21.8万股;以每股人民币3.9-4元的价格向邵海萍等87人销售西安圣威科技实业股份有限公司股票 90.85万股;以每股人民币3-3.2元的价格向王宝兰等60人销售陕西中科航天农业发展股份有限公司股票53.3万股。上述股票销售总金额达人民币657万余元,被告单位利百代公司从中获利人民币240余万元。
 被告单位利百代公司自设立后未从事其他业务。
 以上事实,有金建宙等100余名购股投资人、被告单位利百代公司员工陈亚萍等人的证言,被告单位的公司明细账册、收款及记账凭证、购股人员名单及业绩表,各购股投资人的股权证持有卡,利百代公司、南京聪泰投资管理公司以及涉案4家非上市股份有限公司的工商登记等相关资料,以及被告人陈宗纬、王文泽、郑淳中的供述等证据在案,足以认定。
 本案的争议焦点是:一、被告单位利百代公司及被告人陈宗纬、王文泽、郑淳中在本案中的行为是否构成非法经营罪;二、如果构成非法经营罪,是否应认定为单位犯罪。
 ......

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