Zhongxin Jingwei, February 13 Recently, the China Securities Regulatory Commission disclosed an administrative penalty decision, Han Fei, the former vice president of the Great Wall, was banned from the market for 10 years for holding and trading in the name of others, and a total of 11.7 billion yuan.
According to the administrative penalty decision, Han Fei worked in the Great Wall ** shares *** in June 1997 *** (hereinafter referred to as the Great Wall **) obtained the general ** business practice qualification of the China ** Industry Association in May 2004, and during the period from February 2005 to April 2022, he successively served as the general manager of the business department of the Great Wall **Nanning National Avenue**, the deputy general manager of the Great Wall ** innovative product development department, the deputy general manager of the Great Wall ** marketing management headquarters, the general manager of the ** Guangzhou Tianhe North Road ** business department of the Great Wall, and the Great Wall ** The temporary person in charge of the ** business department of Nanning Minzu Avenue, the general manager of the Guangdong branch of the Great Wall, the general manager of the brokerage business headquarters of the Great Wall ** and the vice president of the Great Wall ** belong to the first paragraph of Article 40 of the "Law".
*: CSRC** (the same below).
After investigation, Han Fei controlled the use of six ** accounts (hereinafter referred to as "** account group") including "Han Hao", involving his father, second sister-in-law, wife, and sister-in-law. The above-mentioned ** account group has the characteristics of concentrated trading varieties, long trading period, concentrated trading trajectory, and low trading frequency, and the trading varieties between the accounts are highly overlapping, and the funds are all Hanfei investment, house purchase and consumption.
According to the survey, since January 2016, there have been 140 orders placed outside Guangdong Province by ** account groups such as "Han Hao", with a transaction amount of about 12.2 billion yuan, of which 137 transactions matched Hanfei's travel records, and the matching amount was about 11.8 billion yuan, with a matching degree of 9693%。
The above-mentioned ** account portfolio has a total transaction amount of about 438 billion yuan, with a profit of about 5868 as of September 30, 2022490,000 yuan.
The China Securities Regulatory Commission believes that Han Fei's relevant behavior violated the provisions of Article 40, Paragraph 1 of the ** Law on prohibiting employees of ** company from holding, trading ** directly or under a pseudonym or in the name of others, and constituted an illegal act under Article 187 of the ** Law.
It is worth noting that in the above-mentioned ** account group, the account of "Han Hao" Guoxin ** Shenzhen Tairan 9th Road Business Department is actually controlled and used by Han Fei. Han Hao's ID card was held and used by Han Fei for a long time, and after verification, Han Hao and Han Fei were the same person.
During the hearing, Han Fei defended Han Hao's identity, saying that Han Hao was not a party, and that the identity was the party's second brother Han. Han testified that Han Hao was an identity that he purchased in the 90s for the over-accounting commodity grain index. The reason why Han Fei's family lived in the house purchased in Han Hao's name for a long time was because the house was purchased by the party's parents, and the party's parents had lived with the party's family for a long time. In addition, the "Han Hao" account was opened by Han himself.
After review, the CSRC believes that compared with Han's testimony at the hearing, which admitted that it was Han Hao, the identification of the actual user of the "Han Hao" account has formed a "clear advantage":
First, according to the information of the public security organs, "Han Hao, formerly known as Han Fei and Han Jianhong, is the third son of the head of the household", and "Han's former name is Han Changjiang".
The second is that the travel record of Han Hao's ID card user in the bank for credit and credit investigation business matches Han Fei, but does not match Han.
The third is that the account opening reservation of the "Han Hao" account is Han Fei's mobile phone number, and the contact address is the address of Han Fei's ID card. Han Fei's own mobile phone number has also logged in and operated the "Han Hao" account many times to place orders.
Fourth, the IP of the "Han Hao" account for orders outside the province is highly consistent with that of MAC and Han Fei, and the funds transferred in and out are basically Han Fei's bank accounts.
Fifth, the handwriting appraisal provided by the parties to open the "Han Hao" account with the signature of Han X can only prove that the "Han Hao" account was opened by Han X, but it cannot prove that Han Hao is Han X, nor can it be proved that the "Han Hao" account is actually controlled and used by Han.
In the end, according to the facts, nature, circumstances and degree of social harm of the parties' illegal acts, and in accordance with the provisions of Article 187 of the ** Law, the CSRC decided: to order Han Fei to dispose of the illegally held ** in accordance with the law and confiscate the illegal gains 5868486753 yuan, and a penalty of 58684867$53 fine.
At the same time, in accordance with the provisions of Article 221 of the ** Law and the provisions of Article 3, Paragraph 2, Article 4, Article 5 and Article 7 of the Provisions on Market Prohibition (Decree No. 185 of the CSRC), the CSRC decided to impose a 10-year market ban on Han Fei.
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