**: Brokerage China.
On February 6, the Shenzhen Securities Regulatory Bureau issued 3 fines in a row, issuing fines to 3 post-90s violations of 2 third-party investment consulting companies.
There are two differences in this batch of tickets. First of all, when it comes to practitioners' violations**, the first impression of the market is the employees of brokerages, and there have been many such fines before. Now, the practitioners of third-party investment advisors have also begun to receive fines for violating the rules.
On the other hand, the overall transaction amount of the 3 post-90s** is relatively small, and the amount of fines issued by the Securities Regulatory Bureau is not large, except for the confiscation of profits, they are all fined 30,000 yuan.
The post-90s investment consulting editor** was fined
Qin, born in 1990. It has been ascertained that since May 15, 2023, Qin has worked in Zhongguangyun Information Technology (Shenzhen)**, which has now been renamed Shanghai Zhongguangyun**Consulting***, hereinafter referred to as Zhongguangyun). Since June 21, 2023, he has held ** investment consulting qualification. During his tenure, Qin participated in assisting in the editing of the investment consulting product "Investment Early Participation", and explained to investors the relevant stock selection indicators of the investment consulting software "Dianjing Intelligent Investment", which is a person who is prohibited from participating in ** transactions as stipulated in the ** Law.
From June 21 to October 16, 2023, Qin's ** account successively traded 19** such as "Keli Sensing", with a total transaction amount of 97140,000 yuan, the total amount of the sale transaction is 94680,000 yuan, deducting transaction taxes and fees, the cumulative loss is 2540,000 yuan. The above transaction was decided by Qin and operated through his mobile phone, and the main funds of the transaction were Qin himself.
The Shenzhen Securities Regulatory Bureau believes that Qin's above-mentioned behavior violated the provisions of Article 40, Paragraph 1 of the ** Law and Article 24, Item 4 of the Interim Measures for the Administration of Investment Consulting, and constituted an illegal act under Article 187 of the ** Law.
Qin actively cooperated with the investigation, and during the verification period, he sold his ** at a loss and took the initiative to cancel the account to correct the illegal behavior, and according to the provisions of Article 32 of the Administrative Punishment Law of the People's Republic of China, he can be punished lightly. According to the facts of the illegal acts such as the quantity and variety of the parties' buying and selling, as well as the corresponding nature, circumstances and degree of social harm, in accordance with the provisions of Article 187 of the ** Law, the Shenzhen Securities Regulatory Bureau decided to impose a fine of 30,000 yuan on Qin.
Post-98 investment advisor** made a profit of 3,600 yuan
Mr. Wu was born in 1998. From June 4, 2020 to August 23, 2022 and October 12, 2022 to the present, Mr. Wu has worked in Shenzhen Dexun **Consultant*** hereinafter referred to as Dexun Securities Advisor), successively served as a consulting assistant and investment consultant. From June 17 to September 6, 2022, Mr. Wu held the ** investment consulting qualification, and the number of his practice certificate was changed from October 26. During his tenure, Mr. Wu provided investment consulting advice to clients, and belonged to the personnel who are prohibited from participating in ** transactions as stipulated in the first paragraph of Article 40 of the ** Law and the Interim Measures for the Administration of ** Investment Consulting (Zheng Wei Fa 1997 No. 96).
From June 17 to August 23, 2022, and from October 26, 2022 to October 25, 2023, Wu's ** account traded 52 ** such as "Xinlai Applied Materials", with a total transaction amount of 10790,000 yuan, with a total sale transaction amount of 10830,000 yuan, deducting transaction taxes and fees, the cumulative profit is 360221 yuan. The above transaction is decided by Wu and the order is placed, and the main funds of the transaction are Wu himself.
The CSRC believes that Wu's above-mentioned behavior violated the provisions of Article 40, Paragraph 1 of the ** Law and Article 24, Item 4 of the Interim Measures for the Administration of Investment Consulting, and constituted an illegal act under Article 187 of the ** Law.
Wu actively cooperated with the investigation, sold the ** he held during the verification period and took the initiative to cancel the account to correct the illegal behavior, and according to the provisions of Article 32 of the Administrative Punishment Law of the People's Republic of China, he can be punished lightly. According to the facts of the illegal acts such as the quantity and variety of the parties' buying and selling, as well as the corresponding nature, circumstances and degree of social harm, and in accordance with the provisions of Article 187 of the ** Law, the CSRC decided to confiscate Wu's illegal gains 360221 yuan and a fine of 30,000 yuan.
The post-96 production staff was fined
Mr. Han was born in 1996. Since March 15, 2021, Mr. Han has worked in Dexun Securities. On December 29, 2021, he obtained the general ** qualification. During his tenure, Han Yue participated in the production of **investment consulting products such as "Evening Research Report" and "Evening Intensive Research" of Dexun Securities Advisor, and belonged to the persons prohibited from participating in ** transactions as stipulated in the first paragraph of Article 40 of the ** Law and the Interim Measures for the Administration of ** Investment Consulting (Zheng Wei Fa 1997 No. 96).
From July 5, 2022 to November 30, 2023, Mr. Han operated Mr. Han's ** account through his mobile phone to place orders, and successively traded 13 ** such as "Fosun Pharma", with a total transaction amount of 22960,000 yuan, the total amount of the sale transaction is 13980,000 yuan, holding **16,200 shares at the end of the period, with a market value of 79,236 yuan, deducting transaction taxes and fees, the cumulative book loss was 10,30934 yuan.
The CSRC believes that Han's above-mentioned behavior violated the provisions of Article 40, Paragraph 1 of the ** Law and Article 24, Item 4 of the Interim Measures for the Administration of Investment Consulting, and constituted an illegal act under Article 187 of the ** Law.
According to the facts of the illegal acts such as the quantity and variety of the party buying and selling, as well as the corresponding nature, circumstances and degree of social harm, in accordance with the provisions of Article 187 of the ** Law, the Securities Regulatory Bureau decided: order Han to deal with the illegally held ** in accordance with the law, and impose a fine of 30,000 yuan.
Editor-in-charge: Wan Jianyi.
Proofreader: Yao Yuan.
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