论文部分内容阅读
海通证券有限公司:经查,1996年至1998年4月,你公司总部和35个下属机构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,你公司资产运用部及杭州营业部、福州营业部等33个下属机构以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。1996年至1997年,你公司所属19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
Haitong Securities Co., Ltd .: After investigation, from 1996 to April 1998, the problem of embezzlement of customer margin in your head office and 35 subordinate organizations constituted the basis of the Provisional Regulations on the Administration of Stock Issuance and Trading (the “Stock Regulations”) Seventy-one (6) of the act described above; In addition, the assets of your company and the use of business units in Hangzhou, Fuzhou Sales Department and other 33 affiliated institutions to individual stocks account for stock-based business, in violation of the "securities business institutions The provisions of Article 14 (2) of the Measures for the Management of Securities Self-employed Business constitute acts as described in Item (5) of Article 71 of the Stock Regulations. From 1996 to 1997, the 19 branches owned by your company financed the trading of clients’ shares, in violation of the provisions of Article 43 of the Stock Regulations, and constituted the shares