Page 56 - 期货和衍生品行业监管动态（2024年8月刊）

期货和衍生品行业监管动态

http://www.csrc.gov.cn/csrc/c100028/c7500731/content.shtml

3. 始终坚持“长牙带刺”，一以贯之严监严管——2024 年上半年中国证监会行

政执法情况综述（2024 年 8 月 16 日）

上半年，证监会查办证券期货违法案件 489 件，作出处罚决定 230 余件、同

比增长约 22%，惩处责任主体 509 人（家）次、同比增长约 40%，市场禁入 46

人、同比增长约 12%，合计罚没款金额 85 亿余元、超过去年全年总和。

China Securities Regulatory Commission Releases Enforcement Results for the

First Half of 2024 (2024/8/16)

In the first half of the year, China Securities Regulatory Commission（CSRC）

investigated and pursued 489 cases of securities and futures violations, and made

penalty decisions in more than 230 cases, which is an increase of approximately 22%.

The CSRC also penalized 509 liable persons, an increase of approximately 40%.

Furthermore, the CSRC market-banned 46 people, which is an increase of

approximately 12%. A sum of more than 8.5 billion CNY in fines and forfeitures was

imposed, which exceeds the total sum of monetary penalties imposed in 2023.

http://www.csrc.gov.cn/csrc/c100028/c7500745/content.shtml

4. 中国证监会同意铅、镍、锡和氧化铝期权注册（2024 年 8 月 23 日）

近日，证监会同意上海期货交易所铅、镍、锡和氧化铝期权注册。证监会将

督促上海期货交易所做好各项准备工作，确保上述期权品种的平稳推出和稳健运

行。

China Securities Regulatory Commission Agrees to Register Lead, Nickel, Tin

and Aluminum Oxide Options (2024/8/23)

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