证监会迟到罚单让造假者置身A股市场的幸福

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自3月份公布行政处罚告知书后,日前证监会又正式公布了对绿大地案相关责任方的行政处罚结果。虽然绿大地案的处罚结果早就为投资者所知晓,但证监会姗姗来迟的罚单还是让人们感觉到造假者置身A股市场的幸福

    应该说欺诈上市、弄虚作假是证券市场的第一大罪。这样的事情发生在国外市场,哪怕是在香港股市,造假者都将面临着灭顶之灾。如美国著名的“麦道夫”案件,麦道夫因证券欺诈获刑150年并同时处以1700亿美元的罚款。而美国的安然事件,不仅安然公司因为欺诈罪而倒闭,而且作为案件的两名主角:安然公司前首席执行官杰弗里•斯基林被判入狱24年零4个月,并且还承担上亿美元的财产追偿;安然公司创始人、前董事长肯尼斯•莱于2006年7月死于心脏病突发,未能等到最终判决下达,但美国政府还要向肯尼斯•莱家族追讨1200万美元的赔偿金。即便是在香港,洪良国际因为造假上市被勒令退市;最近中金再生也因为涉及造假上市问题遭到香港证监会的清盘处理。

    但这样的事情显然不会在A股市场发生。根据证监会对绿大地案开出的罚单,证监会只是对绿大地在2007年、2008年、2009年年度报告中虚增资产、虚增业务收入的行为,责令绿大地改正,给予警告,并处以60万元罚款。由于司法机关已对绿大地在招股说明书中虚增资产、虚增业务收入的行为刑事处罚,不再行政处罚。而司法部门对绿大地的处罚也只是判处罚金1040万元。行政处罚与刑事处罚合并在一起,总计处罚1100万元,仅占绿大地首发募资3.46亿元的3.18%,远比一年的贷款利率还低。因为造假,绿大地募资3.46亿元,却只是支付了1100万元的“使用费”,这种好事硬是被绿大地碰上了。

    而对于绿大地案的主角、绿大地原董事长、总经理何学葵来说,证监会开出的罚单同样是可以令其幸福无比的。根据证监会的罚单,证监会最终认定何学葵为市场禁入者,自证监会宣布决定之日起,终身不得从事证券业务或者担任上市公司董事、监事、高级管理人员职务。这样的判罚对于何学葵来说无关痛痒。尤其让国人羡慕的是,虽然在追究刑事责任时,何学葵被判处有期徒刑10年,罚金60万元,但根据何学葵因为绿大地造假上市所得到的利益,这显然是值得的。何学葵原本持有绿大地股票4325.7985万股,案发后向云投集团转让3000万股股权,按转让价(确定为该股发行价9.16元/股)计算,何学葵因此获利2.7480亿元。何学葵目前还持有1325.7985万股绿大地股票,按最新价格14.27元计算,市值高达1.89亿元。二者合计,通过造假上市,何学葵的获利超过4亿元之巨。面对如此巨大的财富,哪怕再加上10年刑期,也是国人求之不得的。但这种幸福的事情又被何学葵遇上了。有此4亿财富在手,谁还会把“市场禁入令”当一回事呢?且当笑料罢了。

    但投资者显然笑不起来。面对欺诈上市,面对欺诈上市公司与最主要责任人,证监会以及中国的司法部门如此一笔带过,这其实是对投资者权益的最大损害。近年来,管理层一直强调中国股市要与国际股市接轨,但为什么在对欺诈上市公司的查处问题上就不能向美国股市、香港股市学习呢?最近,证监会新闻发言人表示要出台专项法规保护投资者,但如果不能取消这种“幸福的罚单”,总是让造假者倍感幸福,那么投资者就难有幸福可言,保护投资者权益就只是一句空话。

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职业投资者,独立财经撰稿人。1993年入市,十四年的股市磨练,练就了对股市独到的眼光与见解。所写文章以政策、时事热点评述、股票炒作心得为主,以反映中小投资者呼声为 己任,著有《轻轻松松炒股票》一书。联系方式:phz168@21cn.com

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