(1) The parents, spouses, children and spouses of the competent departments of listed companies and state-owned holding units of listed companies with inside information shall not buy or sell the shares of listed companies managed by the above-mentioned competent departments.
(2) The parents, spouses, children and their spouses of the staff of the State Council securities regulatory agency and its dispatched offices, stock exchanges and futures exchanges are not allowed to buy or sell stocks.
(3) If my parents, spouses, children and their spouses work in securities companies or fund management companies, or work in accounting (auditing) firms, law firms, investment consulting institutions, asset appraisal institutions or credit evaluation institutions with securities and futures qualifications granted by the State Council Securities Regulatory Authority, the staff of party and government organs shall not buy or sell shares of listed companies that have business dealings with the above institutions.
(four) the staff of the party and government organs who have inside information shall continue to be bound by these provisions within three months after leaving their posts. Staff members of party and government organs who have inside information because of their new positions must dispose of the stocks and securities investment funds they held before taking office within one month after taking office, and may not continue to hold them.
Extended data:
first
In order to regulate the personal securities investment behavior of the staff of the party and government organs, promote the honesty and self-discipline of the staff of the party and government organs, strengthen the construction of a clean and honest party style, and promote the healthy development of the securities market, these Provisions are formulated.
second
The personal securities investment behavior of the staff of the party and government organs mentioned in these Provisions refers to the behavior of the staff of the party and government organs to invest their legitimate property in the securities market and buy and sell stocks and securities investment funds in a legal way.
essay
Staff of party and government organs can buy and sell stocks and securities investment funds. The trading of stocks and securities investment funds shall comply with the provisions of relevant laws and regulations, and the following acts are strictly prohibited:
( 1)
Taking advantage of the influence of authority or position or taking other improper means to ask for or forcibly buy or sell stocks or ask for or resell warrants;
(2)
Using inside information to directly or indirectly buy and sell stocks and securities investment funds, or providing suggestions for buying and selling stocks and securities investment funds to others;
(3)
Buying and selling stocks of listed companies within its direct business jurisdiction or holding and buying and selling stocks in the name of others;
(4)
Borrow the public funds of the unit, or borrow the funds of the management and service objects, or borrow the funds of subordinate units and individuals within the competent scope, or borrow the funds of other units and individuals related to exercising their functions and powers to purchase stocks and securities investment funds;
(5)
Raise funds to buy and sell stocks and securities investment funds in the name of the unit;
(6)
Use working hours and office facilities to buy and sell stocks and securities investment funds;
(7)
Other acts violating the Securities Law of People's Republic of China (PRC) and other relevant laws and regulations.
Article 4
The parents, spouses, children and spouses of the competent departments of listed companies and state-owned holding units of listed companies with inside information shall not buy or sell the shares of listed companies managed by the above-mentioned competent departments.
Article 5
The parents, spouses, children and their spouses of the staff of the State Council securities regulatory agencies and their dispatched offices, stock exchanges and futures exchanges are not allowed to buy or sell stocks.
Article 6
If my parents, spouses, children and their spouses work in a securities company or a fund management company, or work in an accounting (auditing) firm, a law firm, an investment consulting institution, an asset evaluation institution or a credit evaluation institution that has been granted securities and futures qualifications by the the State Council securities regulatory authority, the staff of the party and government organs shall not buy or sell shares of listed companies that have business dealings with the above institutions.
Article 7
Staff members of party and government organs who have inside information shall continue to be bound by these provisions within three months after leaving their posts.
Staff members of party and government organs who have inside information because of their new positions must dispose of the stocks and securities investment funds they held before taking office within one month after taking office, and may not continue to hold them.
Article 8
Comprehensive economic management departments and industry management departments shall, according to the nature of their work, make restrictive provisions on the behavior of their staff members entering the securities market, and report to the Central Commission for Discipline Inspection and the Ministry of Supervision for the record.
Article 9
Party and government functionaries who violate these provisions shall be given disciplinary, administrative or other disciplinary sanctions; Suspected of committing a crime, transferred to judicial organs for handling according to law. If there is illegal income, it shall be confiscated.
Article 10
The staff of party and government organs mentioned in these Provisions refers to the staff of party organs, people's congresses, administrative organs, CPPCC organs, judicial organs and procuratorial organs.
Institutions managed in accordance with the civil service system, enterprises and institutions with administrative management functions and administrative law enforcement functions, and staff in mass organizations such as trade unions, the Communist Youth League, women's federations, literary and art federations, writers' associations, and science and technology associations; These Provisions shall apply to the staff of institutions affiliated to party and government organs at all levels, trade unions, the Communist Youth League, women's federations, literary and art federations, writers' associations, associations for science and technology and other mass organizations.
References:
Baidu Encyclopedia-Some Provisions on Personal Securities Investment Behavior of Party and Government Organs