Among them, Dapeng Securities and Southern Securities were blocked, which greatly shocked the securities industry. At the same time, except for the chairman, former president Wu and president of Hantang Securities, whose securities qualification certificate and executive qualification were revoked respectively and who were fined 30,000 yuan, the acting president and chief financial officer were revoked respectively. Zhou Naimei, general manager of Shanghai Yongjia Road Sales Department of Minfa Securities, Chang Lin, general manager of Shanghai Hydropower Road Sales Department, general manager of Minfa Securities Fund Management Center, general manager of Houpu Street Sales Department of Fuqing, Fujian, and general manager of Tianjin Liuwei Road Sales Department of Minfa Securities were revoked their securities qualification certificates respectively, and other responsible persons of closed securities companies will be dealt with separately, and the suspected crimes have also been transferred to judicial organs respectively.
Three futures companies or futures brokerage companies were warned or warned for violating futures laws and regulations and confiscated their illegal income, and the relevant responsible persons were also fined respectively. These include Shanghai Wanxiang Futures Company, Chongqing Hongkong and Kowloon Futures Brokerage Co., Ltd., Lu Tong Futures Company and related personnel.
Fenghua, Chongqing Dongyuan, Shenzhen Petrochemical and other 15 listed companies were given administrative penalties for violating information disclosure, related party transactions and illegal guarantees. A total of 126 senior executives and independent directors of listed companies were given warnings, warnings and fines respectively. Among them, Xi 'an Dahlman was fined 600,000 yuan, and 65,438+02 company executives and 6 independent directors, including the chairman, vice chairman, general manager, deputy general manager, chief financial officer and secretary-general, were given warnings and fines. Tian Ge, Sichuan is the listed company with the largest number of people punished, and 24 senior executives were fined. In addition, some intermediaries and related personnel were punished by the CSRC for violating the rules in the audit procedures of listed companies. The CSRC has further intensified its punishment for illegal acts in the securities market, effectively deterring illegal institutions and individuals who attempt to seek illegitimate interests through the securities and futures market.
Guangdong securities end
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Dapeng boss arrested
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Comprehensive Evaluation of China Securities Company
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