Analysts of securities companies will also secretly trade stocks themselves, which is an inevitable result. Of course, they will not use their own names and accounts to do such illegal things, but use the accounts of relatives and friends to make illegal things legal. This is an open secret.
2. As the founder and chief analyst of the company, the famous Mr. Sun has been engaged in securities research for 65,438+00 years and enjoys a high reputation in the domestic securities consulting field. In April, the CSRC decided to identify him as a prohibited person in the market and take administrative supervision measures against him for five years according to law. No one may engage in securities business or serve as a senior manager of a listed company within five years from the date when the decision takes effect. Details are as follows:
The CSRC recently announced that the case of Sun (formerly known as Sun) illegally buying and selling stocks has been put on file for investigation by the CSRC. Sun violates the relevant regulations, and the CSRC will ban him from the market.
According to the announcement, after investigation, on June 5th, 1995, Sun, a famous securities analyst, opened a A 123568832 Shanghai Stock Account. On April 6, 2004, Anyuan Industrial Co., Ltd. (hereinafter referred to as Anyuan shares) disclosed in its 2003 annual report that Sun held 220,700 shares of the company's tradable shares in the above-mentioned stock account, making him the tenth largest shareholder of the company according to the number of shares held. The above-mentioned stock account was designated for trading in the securities business department of Shanghai Laoshan West Road of Haitong Securities Co., Ltd. from February 65438+ to February 2000, and the designated trading was cancelled in May 65438+August 2004. Upon investigation, this account was associated with the fund account of the grandson's spouse from June 5438+February 2000 to March 25, 2002, and with the fund account of the grandson's mother-in-law Teng Deying from March 26, 2002 to May 65438+August 2004. From March 25, 2002 to April 22, 2004, Sun bought and sold 8 1 other stocks in his stock account, with a cumulative turnover of 83 1 transaction and a profit of199210.42 yuan. Sun was the major shareholder, executive director and chief analyst of Shandong Consulting Service Co., Ltd. when the illegal act occurred.
The announcement pointed out that Sun, as a senior manager and investment consultant of securities investment consulting institutions, seriously violated the relevant provisions of the Interim Measures for the Administration of Securities and Futures Investment Consulting and the Securities Law. In addition to imposing administrative penalties on him according to law, the CSRC decided to identify him as a person banned from the market and impose administrative supervision measures on him for five years according to law. No one may engage in securities business or serve as a senior manager of a listed company within five years as of the effective date of this decision.
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