杜軍案

杜军
Du Jun
出生北京
职业摩根士丹利亚洲有限公司前股票经纪人、财务顾问和董事总经理
雇主摩根士丹利亚洲有限公司
知名于犯下香港最大、最受瞩目的内幕交易案
刑事指控九项内幕交易罪名,一项在收购交易公告前怂恿或诱使他人买卖上市公司股份的罪名
刑事处罚7年监禁和2330万罚款
刑事状况己出獄
配偶李馨

杜軍案,是指美國投資銀行大摩亞洲區固定收益部前董事總經理杜軍,英文名:Du Jun,來自北京,因為在香港當財務顧問期間,干犯內幕交易,在香港被控有罪,判監7年。

杜軍案,成為香港最新一個內幕交易案例。杜軍因為知道內幕消息,搶先自己買賣中信資源(1205)股票,構成內幕交易。香港區域法院法官陳慶偉批評杜軍無誠信,行為嚴重影響香港國際金融中心形象。2009年9月18日,法官裁定杜軍10項內幕交易罪名成立,判處入獄7年3個月,但由於區域法院可判的最高刑期為7年,遂改為7年。[1][2]根據《證券及期貨條例》,利用內幕消息圖私利可判刑10年。杜軍多次沽售,雖然實際只得2百幾萬港元利潤。不過法官認為名義利潤(notional profit)原則考慮,犯人內幕消息的收益,按消息公布後市價計算,認定杜軍非法利益是2千幾萬元。杜軍案係刑事判決。

外部參考

參考資料

  1. ^ 摩根士丹利前投資銀行高層因內幕交易被判監七年 | 證券及期貨事務監察委員會. 證券及期貨事務監察委員會. 2009-09-18. (原始内容存档于2019-09-27). 
  2. ^ 杜軍內幕交易囚7年. 東方日報. 2009-09-19. (原始内容存档于2010-01-12). 

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