论文部分内容阅读
福建兴业证券公司:经查,你公司总部及上海金陵东路营业部1997年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》(以上简称《股票条例》)第七十一条第(六)项所述的行为;此外,你公司总部及上海金陵东路营业部等营业部1997年使用个人股票帐户申购新股,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。经研究决定,对你公司和上海金陵东路营业部及负有领导责任的该营业部原主要负责人吴怀昆分别予以通报批评。
Fujian Industrial Securities Company: The investigation, your company headquarters and Shanghai Jinling Road sales department in 1997 there is misappropriation of customer deposits, constitute the “Provisional Regulations on the Issuance and Trading of Securities” (hereinafter referred to as the “Stock Ordinance”) Article 71 In addition, your business headquarters and the Shanghai Jinling East Road Sales Department and other sales department in 1997 using individual stock account subscription of new shares, in violation of the “securities business institutions securities self-management approach” fourteenth The provisions of Article 21 (2) constitute the acts described in Item (5) of Article 71 of the Stock Regulations. After research and decision, your company and the Shanghai Jinling East Road business department and the leadership of the original principal of the business department Wuhuai Kun were criticized.