جرایم و مجازات مربوط به بورس
با توجه به گسترش بورس و این احتمال که افراد زیادی مایل به شرکت در این بازار هستند به بررسی جرایم و مجازات مربوط به بورس پرداخته ایم
چرا که فکر می کنیم دانستن این قوانین به افراد کمک می کند تا سرمایه گذاری آگاهانه تر و با ریسک کمتری انجام دهند
و از انجام اعمای که از نظر قانونی تخف به حساب می آیند پرهیز کنند.
در ادام هبه بررسی فصل ششم قانون بازار اوراق بهادار تحت عنوان جرایم و مجازات ها خواهیم پرداخت.
اشخاص زیر به حبس تعزیری از سه ماه تا یک سال یا به جزای نقدی معادل دو تا پنج برابر سود
به دست آمده یا زیان متحمل نشده یا هر دو مجازات محکوم خواهند شد:
1- هر شخصی که “اطلاعات نهانی” مربوط به اوراق بهادار موضوع این قانون را که حسب وظیفه در اختیار
وی قرارگرفته به نحوی از انحاء به ضرر دیگران یا به نفع خود یا به نفع اشخاصی که از طرف آن ها به
هرعنوان نمایندگی داشته باشد، قبل از انتشار عمومی، مورد استفاده قرار دهد و یا موجبات افشاء و
انتشار آن ها را در غیر موارد مقرر فراهم نماید.
2- هر شخصی که با استفاده از “اطلاعات نهانی” به معاملات اوراق بهادار مبادرت نماید.
3- هر شخصی که اقدامات وی نوعاً منجر به ایجاد ظاهری گمراه کننده از روند معاملات اوراق بهادار یا
ایجاد قیمت های کاذب و یا اغوای اشخاص به انجام معاملات اوراق بهادار شود.
4- هر شخصی که بدون رعایت مقررات این قانون اقدام به انتشار آگهی یا “اعلامیۀ پذیره نویسی” به منظور
عرضۀ عمومی اوراق بهادار نماید.
تبصره 1
اشخاص زیر به عنوان اشخاص دارای “اطلاعات نهانی” شرکت شناخته می شوند:
الف) مدیران شرکت شامل اعضای هیئتمدیره، هیئتعامل، مدیرعامل و معاونان آنان؛
ب) بازرسان، مشاوران، حسابداران، حسابرسان و وکلای شرکت؛
ج) سهامدارانی که به تنهایی و یا به همراه افراد تحت تکفل خود، بیش از ده درصد
سهام شرکت را در اختیار دارند یا نمایندگان آنان؛
د) مدیرعامل و اعضای هیئت مدیره و مدیران ذیربط یا نمایندگان شرکت های مادر
(هلدینگ) که مالک حداقل ده درصد سهام یا دارای حداقل یک عضو در
هیئت مدیره شرکت سرمایه پذیر باشند؛
هـ) سایر اشخاصی که با توجه به وظایف، اختیارات و یا موقعیت خود به “اطلاعات
نهانی” دسترسی دارند.
تبصره 2
اشخاص موضوع تبصره یک این ماده موظف اند آن بخش از معاملات اوراق بهادار خود را که
مبتنی بر”اطلاعات نهانی” نباشد، ظرف پانزده روز پس از انجام معامله، به “سازمان” و
“بورس” مربوط گزارش کنند.
اشخاصی که اطلاعات خلاف واقع یا مستندات جعلی را به “سازمان” و یا “بورس” ارائه نمایند یا
تصدیق کنند و یا اطلاعات، اسناد و یا مدارك جعلی را در تهیۀ گزارش های موضوع این قانون مورد استفاده قرار
دهند، حسب مورد به مجازات های مقرر در قانون مجازات اسلامی مصوب 6/3/1375 محکوم خواهند شد.
بیشتر بخوانید: مجازات جعل امضا پشت چک چیست؟
“کارگزار،” “کارگزار/معامله گر،” “بازارگردان” و “مشاور سرمایه گذاری” که اسرار اشخاصی را که
برحسب وظیفه از آن ها مطلع شده یا در اختیار وی قرار دارد، بدون مجوز افشاء نماید، به مجازات های مقرر در
ماده 648 قانون مجازات اسلامی مصوب 6/3/1375 محکوم خواهد شد.
اشخاص زیر به حبس تعزیری از یک ماه تا شش ماه یا به جزای نقدی معادل یک تا سه برابر سود به دست
آمده یا زیان متحمل نشده یا هر دو مجازات محکوم خواهند شد:
1- هر شخصی که بدون رعایت مقررات این قانون تحت هرعنوان به فعالیت هایی از قبیل “کارگزاری،”
“کارگزار/معامله گر”ی یا “بازارگردانی” که مستلزم اخذ مجوز است مبادرت نماید یا خود را تحت هر
یک از عناوین مزبور معرفی کند.
2- هر شخصی که به موجب این قانون مکلف به ارائۀ تمام یا قسمتی از اطلاعات، اسناد و یا مدارك مهم
به “سازمان” و یا “بورس” مربوط بوده و از انجام آن خودداری کند.
3- هر شخصی که مسئول تهیۀ اسناد، مدارك، اطلاعات، “بیانیۀ ثبت” یا “اعلامیۀ پذیره نویسی” و امثال
آن ها جهت ارائه به “سازمان” می باشد و نیز هر شخصی که مسئولیت بررسی و اظهارنظر یا تهیه
گزارش مالی، فنی یا اقتصادی یا هرگونه تصدیق مستندات و اطلاعات مذکور را برعهده دارد و در
اجرای وظایف محوله از مقررات این قانون تخلف نماید.
4- هر شخصی که عالماً و عامداً هرگونه اطلاعات، اسناد، مدارك یا گزارش های خلاف واقع مربوط به
اوراق بهادار را به هر نحو مورد سوءاستفاده قرار دهد.
بیشتر بخوانید: مجازات متخلفان فروش مال غیر چیست؟
“کارگزار،” “کارگزار/معامله گر” یا “بازارگردانی” که اوراق بهادار و وجوهی را که برای انجام معامله به
وی سپرده شده و وی موظف به نگاهداری آن در حسابه ای جداگانه است، برخلاف مقررات و به نفع خود یا
دیگران مورد استفاده قرار دهد، به مجازات های مقرر در ماده 674 قانون مجازات اسلامی مصوب 6/3/1375
محکوم خواهد شد.
در صورت ارتکاب تخلفات مندرج در این قانون توسط اشخاص حقوقی، مجازات های پیشبینی شده بر
حسب مورد درباره آن دسته از اشخاص حقیقی اعمال می شود که از طرف اشخاص حقوقی یاد شده، مسئولیت
تصمیم گیری را بر عهده داشته اند.
“سازمان” مکلف است مستندات و مدارك مربوط به جرائم موضوع این قانون را گردآوری کرده و به
مراجع قضایی ذیصلاح اعلام نموده و حسب مورد موضوع را به عنوان شاکی پیگیری نماید. چنانچه در اثر جرائم
مذکور ضرر و زیانی متوجه سایر اشخاص شده باشد، زیان دیده می تواند برای جبران آن به مراجع قانونی مراجعه
نموده و وفق مقررات، دادخواست ضرر و زیان تسلیم نماید.
جرایم و مجازات مربوط به بورس را با هم بررسی کردیم
اگر شما هم تجربه ای در این زمینه دارید خوشحال خواهیم شد تا آن را با ما در میان بگذارید.
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