论文部分内容阅读
河南证券有限责任公司:经查,你公司1998年4月末挪用客户保证金6,569.01万元,构成《股票发行与交易管理暂行条例》(以下简称《股票条例》)第七十一条第(六)项所述的行为。此外,1997年,你公司总部及所属6个营业部共利用46个个人股票帐户,从事股票自营业务,共计亏损1,788.15万元(详见附件)。上述行为违反了《证券经营机构证券自营业务管理办法》第十四条第(二)项的规定,构成《股票条例》第七十一条第(五)项所述的行为。1997年,你公
Henan Securities Co., Ltd .: Upon investigation, your company diverted client guarantees amounting to RMB65.6901 million at the end of April 1998, forming the basis of Article 71 (6) of the Provisional Regulations for the Administration of Stock Issuance and Trading (the “Stock Regulations”) The behavior. In addition, in 1997, your company headquarter and its 6 sales offices used a total of 46 individual stock accounts to engage in the stock proprietary business for a total loss of RMB17,881,500 (please refer to the attachment). The aforesaid acts violate the provisions of Item (2) of Article 14 of the Measures for the Management of Self-employed Business of Securities Institutions and constitute acts as described in Item (5) of Article 71 of the Stock Regulations. In 1997, you are male