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广发证券有限责任公司:经查,你公司下属2个营业部1996至1997年期间挪用客户保证金2,919.52万元,其中(1)1997年2月未,天河营业部挪用保证金1,951.46万元;(2)1996年8月23日,海口市义龙路营业部挪用保证金968.06万元。上述行为,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,你公司海口市义龙路营业部1996年以“周先桃”名义开设个人股票帐户申购新股,获利11万元,违反了《证券经
GF Securities Co., Ltd.: After investigation, your company’s two sales department from 1996 to 1997, misappropriation of customer deposits of 29,195,200 yuan, of which (1) February 1997, Tianhe Sales Embezzlement of 19,514,600 yuan; (2) August 23, 1996, Yi Long Road, Haikou City Department of Sales embezzlement 9.6686 million yuan deposit. The aforesaid acts constitute the acts mentioned in Item (6) of Article 71 of the Provisional Regulations for the Administration of Stock Issuance and Trading (hereinafter referred to as the Stock Regulations). In addition, your company Haikou City Yilong Road Sales Department in 1996 to “Zhou Xiantao ” opened a personal stock account subscription of new shares in the name of profit of 110,000 yuan, in violation of the "Securities