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申银万国证券股份有限公司:经查实,你公司1998年4月末存在挪用客户保证金的问题,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1997年1月至6月使用个人股票帐户进行股票自营业务,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,你公司所属4个营业部为客户股票交易提供融资,违反了《股票条例》第四十三条的规定,构成《股票条例》第七十一条第(八)项所述的行为;1997年,你公司向4家上市公司返还股票承销手续费,违反了《证券经营机构股票承销业务管理办法》(以下简称“《承销办法》”)第二十九条第(四)项的规定,构成《承销办法》第四十三条第(五)项所述的
Shenyin & Wanguo Securities Co., Ltd.: After investigation, your company had misappropriated customers’ margin at the end of April 1998 and formed the basis of Article 71 (6th) of the Provisional Regulations on the Administration of Stock Issuance and Trading (the “Stock Regulations” ). In addition, your company used a personal equity account for self-holding of stocks from January to June 1997, in violation of Article 14 (2) of the Measures for the Management of Self-holding Business of Securities Institutions Of the Securities Act of the People’s Republic of China, which constitutes the act referred to in Article 71 (5) of the Stocks Regulations; in 1997, the four sales offices owned by your company financed the trading of client’s securities in breach of section 43 of the Stock Exchange The provisions of Article 71 (8) of the Stocks Ordinance constitute the acts mentioned above. In 1997, your company returned the stock underwriting fees to 4 listed companies in violation of the Administrative Measures on the Underwriting of Shares in Securities Institutions The provisions of Article 29 (4) of the Measures (hereinafter referred to as “the underwriting method”) constitute the provisions of Item (5) of Article 43 of the Underwriting Measures