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內(nei)(nei)幕(mu)(mu)交(jiao)易(yi)(yi)已(yi)成為當前影響資本市場(chang)健(jian)康發展的突出問題(ti)之一(yi)(yi)。近年來，監(jian)(jian)管機(ji)構切實履行自律(lv)管理職能，嚴(yan)把(ba)內(nei)(nei)幕(mu)(mu)交(jiao)易(yi)(yi)監(jian)(jian)管關，通過一(yi)(yi)系列監(jian)(jian)管措施，致力于提高內(nei)(nei)幕(mu)(mu)信息知情人的合法(fa)合規意識，促進(jin)上(shang)市公司(si)及相關各方(fang)規范運(yun)作(zuo)，不斷(duan)完(wan)善有關監(jian)(jian)督約束(shu)機(ji)制(zhi)，在內(nei)(nei)幕(mu)(mu)交(jiao)易(yi)(yi)綜合防控方(fang)面取得了積(ji)極(ji)成效。
一(yi)、從(cong)源頭(tou)上(shang)(shang)(shang)強化(hua)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)重(zhong)(zhong)大(da)信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)前的(de)保密要(yao)求(qiu)。上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)是(shi)指涉及(ji)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)經營、財(cai)務或者對該公(gong)(gong)(gong)(gong)(gong)司(si)(si)證券市(shi)場價格(ge)有重(zhong)(zhong)大(da)影響的(de)尚(shang)未公(gong)(gong)(gong)(gong)(gong)開的(de)信(xin)(xin)(xin)(xin)息(xi)(xi)。從(cong)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)籌劃特(te)定事(shi)(shi)項而產(chan)生內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)及(ji)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)的(de)編制、傳(chuan)遞、審批至(zhi)最終披(pi)(pi)(pi)露(lu)(lu)(lu)，各(ge)個環節相(xiang)關知(zhi)情(qing)(qing)人(ren)(ren)都屬于(yu)(yu)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)知(zhi)情(qing)(qing)人(ren)(ren)，其(qi)一(yi)旦利用(yong)該內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)進行(xing)(xing)股(gu)(gu)(gu)票買賣或泄露(lu)(lu)(lu)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)、建議他人(ren)(ren)進行(xing)(xing)股(gu)(gu)(gu)票買賣，都可能構(gou)成(cheng)內(nei)(nei)(nei)(nei)幕(mu)(mu)交(jiao)(jiao)(jiao)易(yi)(yi)。鑒此(ci)，在(zai)日(ri)常(chang)信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)監(jian)(jian)管(guan)(guan)中從(cong)以下三(san)個源頭(tou)重(zhong)(zhong)點防控內(nei)(nei)(nei)(nei)幕(mu)(mu)交(jiao)(jiao)(jiao)易(yi)(yi)行(xing)(xing)為：首先，在(zai)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)內(nei)(nei)(nei)(nei)部，要(yao)求(qiu)各(ge)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)嚴格(ge)制定并(bing)執行(xing)(xing)信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)事(shi)(shi)務管(guan)(guan)理(li)(li)制度，建立信(xin)(xin)(xin)(xin)息(xi)(xi)內(nei)(nei)(nei)(nei)部流轉(zhuan)通報(bao)制度，明確公(gong)(gong)(gong)(gong)(gong)司(si)(si)董事(shi)(shi)、監(jian)(jian)事(shi)(shi)、高級(ji)管(guan)(guan)理(li)(li)人(ren)(ren)員(yuan)及(ji)控股(gu)(gu)(gu)股(gu)(gu)(gu)東、實際(ji)控制人(ren)(ren)、收購(gou)人(ren)(ren)、保薦人(ren)(ren)、證券服(fu)務機構(gou)、媒體等信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)相(xiang)關各(ge)方(fang)，應嚴格(ge)按照(zhao)《證券法(fa)(fa)》、《上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)管(guan)(guan)理(li)(li)辦法(fa)(fa)》等規定，履行(xing)(xing)在(zai)信(xin)(xin)(xin)(xin)息(xi)(xi)披(pi)(pi)(pi)露(lu)(lu)(lu)事(shi)(shi)務中各(ge)自(zi)的(de)職責。在(zai)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)依法(fa)(fa)披(pi)(pi)(pi)露(lu)(lu)(lu)前，任何知(zhi)情(qing)(qing)人(ren)(ren)不得公(gong)(gong)(gong)(gong)(gong)開或泄露(lu)(lu)(lu)該信(xin)(xin)(xin)(xin)息(xi)(xi)，不得利用(yong)該信(xin)(xin)(xin)(xin)息(xi)(xi)進行(xing)(xing)內(nei)(nei)(nei)(nei)幕(mu)(mu)交(jiao)(jiao)(jiao)易(yi)(yi)，任何機構(gou)和(he)個人(ren)(ren)不得非法(fa)(fa)獲(huo)取、提供、傳(chuan)播上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)的(de)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)。其(qi)次(ci)，加強對重(zhong)(zhong)大(da)信(xin)(xin)(xin)(xin)息(xi)(xi)流轉(zhuan)過程的(de)監(jian)(jian)控。從(cong)規范(fan)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)重(zhong)(zhong)大(da)重(zhong)(zhong)組入手，推(tui)行(xing)(xing)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)重(zhong)(zhong)大(da)資產(chan)重(zhong)(zhong)組內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)知(zhi)情(qing)(qing)人(ren)(ren)登記(ji)制度，強化(hua)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)管(guan)(guan)理(li)(li)意識，推(tui)動(dong)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)完善(shan)自(zi)身的(de)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)管(guan)(guan)理(li)(li)辦法(fa)(fa)。對于(yu)(yu)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)出現股(gu)(gu)(gu)價異動(dong)、市(shi)場傳(chuan)聞或公(gong)(gong)(gong)(gong)(gong)告重(zhong)(zhong)大(da)事(shi)(shi)項的(de)，立即向上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)發出監(jian)(jian)管(guan)(guan)工作(zuo)函件，要(yao)求(qiu)其(qi)提交(jiao)(jiao)(jiao)內(nei)(nei)(nei)(nei)幕(mu)(mu)信(xin)(xin)(xin)(xin)息(xi)(xi)知(zhi)情(qing)(qing)人(ren)(ren)名單以備上(shang)(shang)(shang)交(jiao)(jiao)(jiao)所市(shi)場監(jian)(jian)察部門予以專項核查；最后(hou)，對于(yu)(yu)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)外部，特(te)別是(shi)上(shang)(shang)(shang)市(shi)公(gong)(gong)(gong)(gong)(gong)司(si)(si)的(de)控股(gu)(gu)(gu)股(gu)(gu)(gu)東和(he)實際(ji)控制人(ren)(ren)，進一(yi)步突出和(he)強調內(nei)(nei)(nei)(nei)幕(mu)(mu)交(jiao)(jiao)(jiao)易(yi)(yi)防控的(de)必(bi)要(yao)性和(he)義務性。
二、加強(qiang)股(gu)價(jia)(jia)異動(dong)(dong)與(yu)信(xin)(xin)(xin)息披(pi)露(lu)(lu)(lu)(lu)的(de)(de)(de)聯(lian)動(dong)(dong)監(jian)(jian)管(guan)。進入(ru)全流(liu)通時(shi)(shi)代后(hou)，上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)信(xin)(xin)(xin)息披(pi)露(lu)(lu)(lu)(lu)往(wang)往(wang)與(yu)二級(ji)(ji)市(shi)(shi)(shi)場股(gu)價(jia)(jia)異動(dong)(dong)密切關聯(lian)，通過散布信(xin)(xin)(xin)息配合(he)二級(ji)(ji)市(shi)(shi)(shi)場股(gu)價(jia)(jia)操(cao)縱并從事(shi)(shi)內幕(mu)交易的(de)(de)(de)行為(wei)(wei)有增(zeng)多的(de)(de)(de)趨勢，其違法獲利手法更(geng)為(wei)(wei)快速、手段(duan)(duan)更(geng)具有隱(yin)蔽性，查(cha)(cha)處(chu)工(gong)作更(geng)為(wei)(wei)困難(nan)。針對(dui)(dui)(dui)(dui)這一突(tu)出問題，在日常信(xin)(xin)(xin)息披(pi)露(lu)(lu)(lu)(lu)監(jian)(jian)管(guan)工(gong)作中，將(jiang)上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)股(gu)價(jia)(jia)變動(dong)(dong)納入(ru)監(jian)(jian)管(guan)范圍，做到(dao)“實(shi)時(shi)(shi)監(jian)(jian)控、實(shi)時(shi)(shi)詢(xun)問、及時(shi)(shi)披(pi)露(lu)(lu)(lu)(lu)”。如發(fa)現媒體報(bao)(bao)道、市(shi)(shi)(shi)場傳(chuan)聞或(huo)(huo)上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)股(gu)價(jia)(jia)連(lian)續異動(dong)(dong)的(de)(de)(de)，管(guan)理部門將(jiang)及時(shi)(shi)詢(xun)問上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)并要求其征詢(xun)控股(gu)股(gu)東(dong)、實(shi)際控制人，督(du)促其及時(shi)(shi)澄清或(huo)(huo)發(fa)布有關重大(da)事(shi)(shi)項(xiang)信(xin)(xin)(xin)息。在充分(fen)保證信(xin)(xin)(xin)息披(pi)露(lu)(lu)(lu)(lu)的(de)(de)(de)公(gong)平性、不影響交易的(de)(de)(de)連(lian)續性和(he)市(shi)(shi)(shi)場效率的(de)(de)(de)前提下，對(dui)(dui)(dui)(dui)于上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)重大(da)事(shi)(shi)件的(de)(de)(de)信(xin)(xin)(xin)息披(pi)露(lu)(lu)(lu)(lu)尚不能達到(dao)完(wan)整性要求的(de)(de)(de)，將(jiang)根(gen)據(ju)不同情況采取(qu)分(fen)階(jie)段(duan)(duan)披(pi)露(lu)(lu)(lu)(lu)和(he)臨(lin)時(shi)(shi)停牌(pai)等監(jian)(jian)管(guan)措(cuo)施，要求上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)遵循(xun)分(fen)階(jie)段(duan)(duan)披(pi)露(lu)(lu)(lu)(lu)原則(ze)，根(gen)據(ju)事(shi)(shi)件的(de)(de)(de)進展分(fen)階(jie)段(duan)(duan)披(pi)露(lu)(lu)(lu)(lu)某(mou)一時(shi)(shi)點下的(de)(de)(de)具體情況，并輔以充分(fen)警(jing)示(shi)(shi)，向投資者提示(shi)(shi)事(shi)(shi)件最終結(jie)果(guo)及其對(dui)(dui)(dui)(dui)公(gong)司(si)影響的(de)(de)(de)不確(que)定(ding)性，或(huo)(huo)對(dui)(dui)(dui)(dui)公(gong)司(si)股(gu)票予以停牌(pai)，直至上(shang)(shang)市(shi)(shi)(shi)公(gong)司(si)準確(que)完(wan)整地披(pi)露(lu)(lu)(lu)(lu)相關事(shi)(shi)項(xiang)后(hou)復牌(pai)。總體上(shang)(shang)，通過采取(qu)強(qiang)化盤中干預和(he)盤后(hou)警(jing)示(shi)(shi)，運用特別停牌(pai)冷卻機(ji)制，加強(qiang)對(dui)(dui)(dui)(dui)異動(dong)(dong)情況的(de)(de)(de)調(diao)查(cha)(cha)、核查(cha)(cha)和(he)報(bao)(bao)告，加大(da)對(dui)(dui)(dui)(dui)市(shi)(shi)(shi)場傳(chuan)言(yan)和(he)媒體普(pu)遍關注信(xin)(xin)(xin)息的(de)(de)(de)監(jian)(jian)控力度(du)，并對(dui)(dui)(dui)(dui)可疑賬戶采取(qu)限(xian)制交易等措(cuo)施，取(qu)得(de)了較好效果(guo)。
三、強(qiang)化(hua)上(shang)市公司董事(shi)、監(jian)事(shi)、高級管理人員和(he)主要股東股票交易行(xing)為的監(jian)管。上(shang)市公司董事(shi)、監(jian)事(shi)、高級管理人員（以下(xia)稱“董監(jian)高”）和(he)5%以(yi)上的(de)(de)(de)(de)股東為(wei)法定(ding)的(de)(de)(de)(de)內(nei)幕(mu)信息知情人(ren)(ren)，其(qi)股票交(jiao)易(yi)行為(wei)規(gui)(gui)范與否，對(dui)于(yu)市場具(ju)有(you)(you)重要的(de)(de)(de)(de)意(yi)義，也是(shi)內(nei)幕(mu)交(jiao)易(yi)防(fang)控的(de)(de)(de)(de)關鍵(jian)一環。目(mu)前(qian)，根(gen)據(ju)《公(gong)(gong)司法》、《證券法》以(yi)及證監(jian)(jian)會《上市公(gong)(gong)司董(dong)事(shi)、監(jian)(jian)事(shi)和(he)高級管(guan)(guan)(guan)理人(ren)(ren)員所持(chi)本公(gong)(gong)司股份及其(qi)變動(dong)管(guan)(guan)(guan)理規(gui)(gui)則(ze)》等(deng)法律法規(gui)(gui)的(de)(de)(de)(de)要求(qiu)，協同中(zhong)國登記(ji)結(jie)(jie)算公(gong)(gong)司上海分公(gong)(gong)司采(cai)取相(xiang)應技術手段，對(dui)于(yu)上市公(gong)(gong)司董(dong)監(jian)(jian)高和(he)主要股東等(deng)內(nei)幕(mu)信息知情人(ren)(ren)的(de)(de)(de)(de)持(chi)股管(guan)(guan)(guan)理及其(qi)變動(dong)采(cai)取了有(you)(you)效(xiao)的(de)(de)(de)(de)監(jian)(jian)管(guan)(guan)(guan)措施：首先(xian)，事(shi)前(qian)監(jian)(jian)管(guan)(guan)(guan)與事(shi)后監(jian)(jian)管(guan)(guan)(guan)相(xiang)結(jie)(jie)合(he)，通過事(shi)前(qian)的(de)(de)(de)(de)技術控制和(he)事(shi)后的(de)(de)(de)(de)定(ding)期(qi)（每年年度報(bao)(bao)告和(he)半年度報(bao)(bao)告披露結(jie)(jie)束之后）或(huo)不(bu)定(ding)期(qi)核(he)查，篩(shai)選識(shi)別上述人(ren)(ren)員或(huo)機(ji)構是(shi)否存在違規(gui)(gui)交(jiao)易(yi)行為(wei)，并根(gen)據(ju)核(he)查結(jie)(jie)果對(dui)相(xiang)應人(ren)(ren)員予(yu)以(yi)監(jian)(jian)管(guan)(guan)(guan)關注(zhu)或(huo)提交(jiao)上交(jiao)所紀律處分委(wei)員會予(yu)以(yi)紀律處分；其(qi)次，大力開展規(gui)(gui)則(ze)宣傳和(he)培訓(xun)工作(zuo)。多(duo)次舉辦或(huo)者協助地方監(jian)(jian)管(guan)(guan)(guan)局(ju)舉辦關于(yu)上市公(gong)(gong)司董(dong)監(jian)(jian)高和(he)主要股東合(he)規(gui)(gui)交(jiao)易(yi)培訓(xun)，進(jin)一步(bu)引導和(he)規(gui)(gui)范上述人(ren)(ren)員或(huo)機(ji)構的(de)(de)(de)(de)股份交(jiao)易(yi)行為(wei)。
四、重(zhong)(zhong)(zhong)點關(guan)注并(bing)購(gou)重(zhong)(zhong)(zhong)組(zu)(zu)中(zhong)(zhong)的(de)內(nei)(nei)(nei)(nei)幕(mu)交(jiao)易問題。針對目前并(bing)購(gou)重(zhong)(zhong)(zhong)組(zu)(zu)過程中(zhong)(zhong)較為突出的(de)內(nei)(nei)(nei)(nei)幕(mu)交(jiao)易問題，集中(zhong)(zhong)監(jian)管資(zi)源(yuan)，不斷(duan)加大對并(bing)購(gou)重(zhong)(zhong)(zhong)組(zu)(zu)中(zhong)(zhong)內(nei)(nei)(nei)(nei)幕(mu)交(jiao)易的(de)監(jian)控和查處力(li)度，力(li)爭精確打擊違(wei)法違(wei)規(gui)(gui)行為，提(ti)高(gao)內(nei)(nei)(nei)(nei)幕(mu)信(xin)息(xi)知(zhi)情人(ren)(ren)的(de)違(wei)規(gui)(gui)成本和失信(xin)成本，遏制(zhi)(zhi)內(nei)(nei)(nei)(nei)幕(mu)信(xin)息(xi)知(zhi)情人(ren)(ren)從(cong)事內(nei)(nei)(nei)(nei)幕(mu)交(jiao)易。首先，先后制(zhi)(zhi)定(ding)了十(shi)項重(zhong)(zhong)(zhong)大資(zi)產重(zhong)(zhong)(zhong)組(zu)(zu)備忘(wang)錄，規(gui)(gui)范和指導(dao)上市公司重(zhong)(zhong)(zhong)組(zu)(zu)業務流程，強調(diao)做好(hao)內(nei)(nei)(nei)(nei)幕(mu)交(jiao)易的(de)防(fang)范工作，要求上市公司及其控股(gu)股(gu)東和實際控制(zhi)(zhi)人(ren)(ren)在(zai)籌劃重(zhong)(zhong)(zhong)大資(zi)產重(zhong)(zhong)(zhong)組(zu)(zu)時應將內(nei)(nei)(nei)(nei)幕(mu)信(xin)息(xi)知(zhi)情人(ren)(ren)控制(zhi)(zhi)在(zai)最小范圍內(nei)(nei)(nei)(nei)，并(bing)盡早向證券交(jiao)易所申請(qing)停牌；其次，明確要求上市公司及相(xiang)關(guan)信(xin)息(xi)披(pi)露義務人(ren)(ren)就并(bing)購(gou)重(zhong)(zhong)(zhong)組(zu)(zu)等股(gu)價敏感性信(xin)息(xi)披(pi)露進行報送文件、停牌申請(qing)和相(xiang)關(guan)政策咨(zi)詢的(de)，應在(zai)每日15點收(shou)市(shi)(shi)以后(hou)(hou)進行，即證券交(jiao)(jiao)易所在股(gu)(gu)票(piao)交(jiao)(jiao)易期間內(nei)(nei)不接(jie)受公(gong)司(si)(si)股(gu)(gu)票(piao)停牌申請，不接(jie)收(shou)和(he)(he)審查(cha)(cha)相(xiang)關(guan)(guan)信(xin)(xin)息披露文件(jian)等；最(zui)后(hou)(hou)，按照證監會相(xiang)關(guan)(guan)規定，證券交(jiao)(jiao)易所對(dui)于申請并購重(zhong)組的(de)(de)上市(shi)(shi)公(gong)司(si)(si)的(de)(de)二級(ji)市(shi)(shi)場(chang)(chang)交(jiao)(jiao)易情(qing)(qing)況(kuang)(kuang)和(he)(he)內(nei)(nei)幕(mu)(mu)信(xin)(xin)息知(zhi)情(qing)(qing)人(ren)(ren)的(de)(de)交(jiao)(jiao)易情(qing)(qing)況(kuang)(kuang)“每單(dan)必查(cha)(cha)”，規定上市(shi)(shi)公(gong)司(si)(si)在以籌(chou)劃(hua)重(zhong)大(da)資產重(zhong)組為由停牌后(hou)(hou)，應立即報送包括上市(shi)(shi)公(gong)司(si)(si)、主要股(gu)(gu)東、實際控(kong)制(zhi)人(ren)(ren)及其(qi)董事(shi)、監事(shi)、高級(ji)管(guan)理人(ren)(ren)員，重(zhong)組交(jiao)(jiao)易對(dui)方及其(qi)關(guan)(guan)聯(lian)方的(de)(de)相(xiang)關(guan)(guan)人(ren)(ren)員，以及為重(zhong)組方案提供服務及參與方案的(de)(de)制(zhi)定、論證等環節的(de)(de)相(xiang)關(guan)(guan)單(dan)位和(he)(he)人(ren)(ren)員等在內(nei)(nei)的(de)(de)內(nei)(nei)幕(mu)(mu)信(xin)(xin)息知(zhi)情(qing)(qing)人(ren)(ren)名單(dan)，市(shi)(shi)場(chang)(chang)監察部門則根(gen)據(ju)證券交(jiao)(jiao)易所內(nei)(nei)幕(mu)(mu)信(xin)(xin)息知(zhi)情(qing)(qing)人(ren)(ren)數(shu)據(ju)庫和(he)(he)上市(shi)(shi)公(gong)司(si)(si)提交(jiao)(jiao)的(de)(de)內(nei)(nei)幕(mu)(mu)信(xin)(xin)息知(zhi)情(qing)(qing)人(ren)(ren)名單(dan)，及時(shi)核查(cha)(cha)公(gong)司(si)(si)停牌前二級(ji)市(shi)(shi)場(chang)(chang)交(jiao)(jiao)易情(qing)(qing)況(kuang)(kuang)和(he)(he)相(xiang)關(guan)(guan)內(nei)(nei)幕(mu)(mu)信(xin)(xin)息知(zhi)情(qing)(qing)人(ren)(ren)的(de)(de)交(jiao)(jiao)易情(qing)(qing)況(kuang)(kuang)，并將(jiang)核查(cha)(cha)結(jie)果及時(shi)報告證監會相(xiang)關(guan)(guan)部門。
五、加強上(shang)市公司培(pei)訓，引導(dao)上(shang)市公司及(ji)相關各方規范(fan)運作。在自行(xing)舉辦或與地方監(jian)管局等機構合(he)辦的(de)上(shang)市公司培(pei)訓中，始終(zhong)將(jiang)內幕(mu)(mu)交易(yi)防控(kong)的(de)相關要求作為(wei)培(pei)訓重點，通過介(jie)紹內幕(mu)(mu)交易(yi)相關法(fa)律法(fa)規及(ji)法(fa)律責任，剖析內幕(mu)(mu)交易(yi)典型(xing)案例，講授內幕(mu)(mu)交易(yi)的(de)危(wei)害、細化說明內幕(mu)(mu)信(xin)息管理要求以及(ji)監(jian)管機構對內幕(mu)(mu)交易(yi)行(xing)為(wei)的(de)監(jian)管舉措，強調有(you)關內幕(mu)(mu)信(xin)息知情人責任等，推(tui)動上(shang)市公司提高(gao)信(xin)息披露(lu)的(de)規范(fan)運作水(shui)平(ping)。
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