Commission to open a single five investment bank fined illegal trading stocks

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Commission to open a single five investment bank fined illegal trading stocks

2017-03-19 06:30:27 69 ℃

Securities Times reporter Cheng Dan

According to the Commission recently on the 5 case of an administrative penalty, including 1 cases of insider information and insider trading case, 2 cases of market manipulation case, 1 cases of legal person use another account in securities trading case, 1 cases of illegal buying and selling securities practitioners.

Commission spokesman Deng Ge introduction, the 1 leaked insider information and insider trading case, is a major asset restructuring in Jiangsu, which is intended to be insider insider knowledge of Thorpe. Insider information in the sensitive period, Zhao Guobin and Wang Wenping repeatedly to contact the relevant circumstances, Wang Wenping leaked to Zhao Guobin Jiangsu Thorpe restructuring; Zhao Guobin illegally obtain insider information of their own account transactions "Jiangsu Thorpe" after use, no illegal income. Wang Wenping, Zhao Guobin's behavior in violation of the Securities Act provides that the Jiangsu securities regulatory bureau decided to impose a fine of 40 thousand yuan, respectively, on the grounds of the president, Mr. Zhao Guobin, Wang Wenping.

2 in the case of market manipulation, one is in the period from June 18, 2015 to May 13, 2016 6 trading days, in order to maintain the proud dragon asset management asset management products and avoid wearing a net risk, control the use of the Milky Way capital - Zhejiang bank capital - the Milky Way dragon pride No. 1 asset management plan and 6 securities account in the city, during the transaction taking advantage of the money for buying, lift the Guangzhou automobile group stock price, the effect of GAC closing price. Dragon pride assets lift, GAC shares did not reverse sold, no illegal income. Dragon pride assets in violation of the "Securities Law" provisions, Guangdong securities regulatory bureau decided to dragon pride assets shall be fined 3 million yuan; to charge Wang Yuhan (Dragon pride assets legal representative and general manager) to give a warning and impose a fine of 300 thousand yuan. Two is the use of Liu Yijun control, He Moubin, Tan securities account in August 10, 2015 through the bulk of the transaction to buy the Guangzhou Automobile Group, the 20 million shares. In August 11, 2015, Liu Yijun successfully sold to "Guangzhou Automobile Group", have been used to buy high price reporting, and frequent withdrawals commissioned tray, lift and maintain the GAC stock price manipulation period sold GAC 11581605 shares, no illegal gains. Liu Yijun acts in violation of the Securities Act, the Guangdong securities regulatory bureau decided to impose a fine of 300 thousand yuan to Liu Yijun.

1 cases of legal person use another account in securities trading case, Jiayu industry since May 2012 has management and use of a Doppler, Wang Mouyun, Peng Mouming and other 3 people under 14 securities account transactions "East China Science and technology" and "the Great Wall film and other dozens of stocks involved in the" directional Guodong construction "of the stock issuance. There is no illegal income of its securities investment. Jiayu industry in violation of the "Securities Law" provisions, the Commission decided to Jiayu industry shall be fined 240 thousand yuan; the personnel director Peng Jianping directly responsible (Jiayu industrial actual controller) to give a warning and impose a fine of 80 thousand yuan.

1 cases of illegal sale of securities practitioners in the case of Ao Xiang during the period from April 2008 to May 6, 2016 in Ping An Securities Limited liability company, Qilu Securities Company Limited (now renamed Thailand securities Limited by Share Ltd), Huatai Securities Co., Ltd. investment bank department office. In the working period, Ao Xiang using the "Xu Mouzhen" account "China peace" and "sunwoda" and other stocks, there is no illegal income. Ao Xiang behavior in violation of the securities law stipulates that the Shenzhen securities regulatory bureau decided to impose a fine of 100 thousand yuan.