Hebei Securities Co., Ltd. was established in June 1988. It is one of the earliest securities companies established in China, one of the earliest members of Shanghai Stock Exchange, one of the first ten securities companies with underwriting qualification, one of the 26 securities companies with underwriting qualification re-certified by CSRC in 2000, and one of the first securities companies with consulting qualification. In June, 2000, China Securities Regulatory Commission approved the company's registered capital to increase to 530 million yuan, and the paid-in capital was 539.25 million yuan.
Brief introduction of the case:
From June 65438+1October 14, 2002 to February 3 1 day, 2005, Hebei Securities misappropriated customer transaction settlement funds totaling RMB 570,458,763.6438+05. In which: Hebei Securities directly misappropriated customer transaction settlement funds of 2,965,438+0,559,65,438+030./kloc-0,65,438+0 yuan, occupying 99,700,000.00 yuan of customer transaction settlement funds left over from the history before 2002, which was suspected of personal crime misappropriation. As of June 65438+1October 65438+March, 2006, the fund gap of customer transaction settlement in Hebei Securities was 347 million yuan.
From February 5, 2000 to February 3, 2005, there was securities trading behavior of financing customers in the business department of Beijing Shouti South Road of Hebei Securities. As of June 65438+February 3, 20051day, * * * provided financing to 14 customers with an amount of RMB 40,688,814.22. 1June 65438+July 3, 9981day to August 4, 2004, the business department of Beijing Shouti South Road of Hebei Securities and Beijing Boer Energy-saving Technology Development Co., Ltd. signed a national debt investment cooperation agreement five times, with an agreed amount of 8 million yuan twice and an agreed annual rate of return of 9.6%; Three times, 65,438+00,000,000.00 yuan, the agreed annual rate of return is 7.6%, and there is a behavior of promised income. Since July 4, 2002, July 10, and August 5, 2002, the business department of Beijing Shouti South Road of Hebei Securities has been self-operated under three capital accounts and under the guise of others or individuals.
The above-mentioned illegal acts of Hebei Securities and its business department violate the provisions of Articles 132, 141 and 143 of the original Securities Law, which constitute that Article 186 "Securities companies violate the provisions of this law" and Article 191 "Comprehensive securities companies violate the provisions of this law". As stipulated in Article 193, "engaging in self-operated business in the name of others or individuals", "Securities companies, securities registration and settlement institutions and their employees … misappropriate funds in customers' accounts" and as stipulated in Article 194, "Securities companies undertake brokerage business … make commitments to customers' securities trading gains or losses". In July 2008, China Securities Regulatory Commission imposed administrative penalties on eight responsible persons, including Hebei Securities and Wu Tiesuo, according to the facts, nature, plot and social harm of the illegal acts of the parties, and according to the provisions of Articles 186, 191, 193 and 194 of the original Securities Law and Article 27 of the Administrative Punishment Law. The CSRC revoked the qualification certificates of relevant responsible persons Wu Tiesuo, Xie Chunmin, Tang Ganshan, Wang Shujiang and Li; Give Wang Zhigang a warning and impose a fine of 50,000 yuan; Zhou and Zhou were given warnings, fined 30,000 yuan and their qualification certificates were revoked.
After the implementation of the new bankruptcy law, the first bankruptcy case of financial institutions in China, namely the bankruptcy case of Hebei Securities Co., Ltd., involved assets of more than 2 billion yuan and creditor's rights of more than 3 billion yuan, involving millions of investors across the country.
The bankruptcy case of Hebei Securities Co., Ltd. is large in amount and complicated in case, and relevant leaders of the Supreme People's Court, the State Council Securities Regulatory Commission and Hebei Provincial Government attach great importance to it. It is the first securities company in China to go bankrupt after the implementation of the new bankruptcy law, and it is also the first bankruptcy case accepted by Shijiazhuang Intermediate People's Court after the implementation of the new bankruptcy law, which has a great influence on society.
Ercaida Securities Co., Ltd. was established in April 2002 with the approval of China Securities Regulatory Commission (No.8/KLOC-0 [2002]). The company was formerly known as Hebei Caida Securities Company (established in 1995), and its business scope includes: acting as an agent for securities trading (including domestic listed foreign shares) and acting as an agent. The registered capital is141690,000 yuan; Registered at No.35 Qiangzi Road, Shijiazhuang City; Legal representative Zhai; The controlling shareholder is Hebei Iron and Steel Group Co., Ltd., with more than 600 employees/kloc-0.
Company name: Caida Securities Co., Ltd.
English name: Caida Securities Co., Ltd
English abbreviation: Caida Securities
2. Legal representative: Zhai.
General Manager: Zhang Ming
3. Registered capital: 2.745 billion yuan.
Scope: Securities brokerage; Securities brokerage; Securities broker; Securities investment consulting; Financial advisers related to securities trading and securities investment activities; Securities underwriting and sponsorship; Securities self-management; Securities asset management; Margin financing and securities lending; Securities investment funds sell on a commission basis; Consignment of financial products; Provide intermediary business for futures companies.
4. Registered address: No.35, Qiangzi Road, Shijiazhuang City, Hebei Province
Office Address: No.35 Qiangzi Road, Shijiazhuang, Hebei Province