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People's Procuratorate of Jing'an District of Shanghai Municipality v. Xu Chunmao (Case of trading conducted by utilizing undisclosed information)
上海市静安区人民检察院诉许春茂利用未公开信息交易案
【法宝引证码】

People's Procuratorate of Jing'an District of Shanghai Municipality v. Xu Chunmao (Case of trading conducted by utilizing undisclosed information)
上海市静安区人民检察院诉许春茂利用未公开信息交易案
[核心术语]
未公开的信息;利用职务便利;情节严重;基金交易
[争议焦点]
1.基金经理利用其掌握的未公开的信息,从事与该信息相关的基金交易的行为,应当如何论处?
[案例要旨]
《刑法》第一百八十条第四款规定的利用未公开的信息交易罪是指证券交易所、期货交易所、证券公司、期货经纪公司、基金管理公司、商业银行、保险公司等金融机构的从业人员以及有关监管部门或者行业协会的工作人员利用因职务便利获取的内幕信息以外的其他未公开的信息违反规定从事与该信息相关的证券、期货交易活动...
People's Procuratorate of Jing'an District of Shanghai Municipality v. Xu Chunmao (Case of trading conducted by utilizing undisclosed information) 上海市静安区人民检察院诉许春茂利用未公开信息交易案
[Judgment Abstract] [裁判摘要]
As a fund manager, the actor, by utilizing undisclosed information to deal with securities trading relevant to such information, bought and sold the same single share in advance or simultaneously, in violation of regulations, with serious circumstances, convictable and punishable for the crime of trading by utilizing undisclosed information in accordance with the provision of paragraph 4, Article 180 of the Criminal Law of the People's Republic of China. 行为人在担任基金经理期间,违反规定,利用掌握的未公开的信息,从事与该信息相关的证券交易活动,先于或同步多次买入、卖出相同个股,情节严重,应当按照《中华人民共和国刑法》第一百八十条第四款的规定,以利用未公开信息交易罪定罪处罚。
Public prosecution organ: People's Procuratorate of Jing'an District of Shanghai Municipality. 公诉机关:上海市静安区人民检察院。
Defendant: Xu Chunmao, male, 37, former fund manager of Everbright Pramerica Fund Management Co., Ltd. for the Dividend Stocks-type Securities Investment Fund and the Balanced Selected Stocks-type Securities Investment Fund, domiciled at Room 1805, No. 27, Lane 1500, Zhangyang Road, Shanghai, and released on bail on April 18, 2011, as a suspect for the crime of trading by utilizing undisclosed information. 被告人:许春茂。因涉嫌犯利用未公开信息交易罪于 2011年4月18日被取保候审。
...... 上海市静安区人民检察院以被告人许春茂犯利用未公开信息交易罪,向上海市静安区人民法院提起公诉。
 
 起诉书指控:被告人许春茂于2009年 2月28日至2010年4月15日间,利用其担任光大保德信基金管理有限公司(以下简称“光大公司”)基金经理的职务便利,使用其控制的户名为“史建明”的证券账户.亲自或通过电话指令张超等方式,先于或同期于其管理的红利股票型证券投资基金 (以下简称“红利基金”)、均衡精选股票型证券投资基金(以下简称“均衡基金”)买入或卖出同一股票。经鉴定,上述期间共交易股票68只,交易金额共计人民币9500余万元,非法获利共计人民币209余万元。 2011年4月18日,许春茂主动至中国证监会上海稽查局接受调查,后如实向公安机关交代了上述犯罪事实。综上,许春茂的行为触犯《中华人民共和国刑法》第一百八十条第四款之规定,构成利用未公开信息交易罪。被告人系自首,可以从轻或减轻处罚。提请以利用未公开信息交易罪追究许春茂的刑事责任。
 ......

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