论文部分内容阅读
西南证券有限公司:中国证券监督管理委员会对原重庆有价证券公司(以下简称“重庆证券”)违反证券法规的行为进行了调查。一、违规事实1997年末,原重庆证券挪用客户保证金30,342.36万元,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。二、处罚决定鉴于原重庆证券已并入你公司,根据《中华人民共和国行政处罚法》第二十三条的规定,经研究决定:1.对原重庆证券国内业务部原负责人袁野处以警告;2.责令你公司自收到本
Southwest Securities Co., Ltd .: China Securities Regulatory Commission investigated the behavior of the former Chongqing Securities Company (hereinafter referred to as “Chongqing Securities”) for violating securities laws and regulations. I. Non-compliance Facts At the end of 1997, the former Chongqing Securities embezzled customers’ deposits of RMB 303,426,600, constituting the behavior described 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). Second, the punishment decision In view of the original Chongqing securities have been incorporated into your company, according to the “People’s Republic of China Administrative Punishment Law,” the provisions of Article 23, the study decided: 1. On the former head of the domestic business unit of Chongqing Securities Yuan Ye Department Warning; 2. Order your company to receive this from