The administrative penalty decision issued by the Hebei Securities Regulatory Bureau shows that Jiao Yumiao, a regular employee of Caida Securities, operated other people's stock accounts and was only fined 40,000 yuan because he made no illegal profits.

Securities practitioners have been repeatedly banned from illegal stock trading, and regulatory authorities have never relaxed on this issue. On July 13, the Hebei Securities Regulatory Bureau and the Guangdong Securities Regulatory Bureau simultaneously issued administrative penalties against practitioners for operating other people’s stock accounts.

The administrative penalty decision issued by the Hebei Securities Regulatory Bureau shows that Jiao Yumiao, a regular employee of Caida Securities, operated other people's stock accounts and was only fined 40,000 yuan because he made no illegal profits. The administrative penalty decision issued by the Guangdong Securities Regulatory Bureau on the same day showed that Yao Yiyu, an employee of CITIC Securities, operated other people's stock accounts. In the end, Yao Yiyu had his illegal gains confiscated and was fined.

Employees of two securities firms were fined for illegal stock trading

html On July 13, the Hebei Securities Regulatory Bureau’s penalty decision showed that from May 2012 to November 2016, Jiao Yu, a regular employee of Caida Securities During his tenure in the sales department, Miao operated Li Mouguo's securities account to buy and sell stocks, accumulating 1,192 purchases with a transaction amount of 52.3396 million yuan; 932 sales with a transaction amount of 51.5314 million yuan, with a net difference of -808,200 yuan. No illegal gains were found. profit. Jiao Yumiao's behavior violated the relevant provisions of the Securities Law. The Hebei Securities Regulatory Bureau decided to order Jiao Yumiao to deal with the illegally held stocks in accordance with the law and imposed a fine of 40,000 yuan.

Coincidentally, on the same day, the Guangdong Securities Regulatory Bureau also announced a penalty decision on Yao Yiyu, an employee of CITIC Securities. Yao Yiyu operated the "Tong Mouying" securities account to buy and sell stocks from March 4, 2014 to June 30, 2016, and the account made profits. 18.51 yuan. The Guangdong Securities Regulatory Bureau decided to confiscate Yao Yiyu’s illegal gains of 18.51 yuan and impose a fine of 18.51 yuan. The total amount of the above fines and confiscations was 37.02 yuan.

" Daily Economic News " reporter also noticed that in addition to the above two cases of securities company employees being fined for illegal stock trading this month, the Shandong Securities Regulatory Bureau announced on July 11 that Xu, an employee of CITIC Securities (Shandong) Co., Ltd. Kang used his personal electronic device to issue 8 fund transaction instructions on behalf of CITIC Securities (Shandong) Liaocheng Dongchang East Road Sales Department customer - Liaocheng Evening News Media Co., Ltd., with a transaction amount of 227,700 yuan, and no illegal gains. In the end, the Shandong Securities Regulatory Bureau decided to order Xu Kang to make corrections, give him a warning, and impose a fine of 100,000 yuan.

There have been three cases before half of July

"Daily Economic News" reporter noticed that Article 43 of the "Securities Law" stipulates that employees of stock exchanges, securities companies and securities registration and clearing institutions, securities supervision and management Staff members of institutions and other personnel prohibited from participating in stock transactions by laws and administrative regulations may not hold, buy or sell stocks directly or under a pseudonym or in the name of others during their term of office or within the statutory period, nor may they accept stocks donated by others.

A back-end staff of a securities firm told the reporter of "Daily Economic News": " compliance specialist basically provides compliance training to everyone every week, and there are also daily monitoring. Everyone must be very clear that employees are not allowed to speculate in stocks. "It can be seen that it is already known to everyone that securities practitioners are not allowed to engage in stock trading, and this is also an important aspect of the compliance management of securities firms.

However, according to the official website of the Hainan Securities Regulatory Bureau, there were three cases in June of various regulatory agencies punishing securities practitioners for illegal stock trading. However, as of now, the reporter of "Daily Economic News" has incomplete statistics. In July There have been 3 cases before the halfway mark.