The two brokerage firms to open a new three board account suspended 6 months to open an account pppd-175

Two open three new board account irregularities brokerage commission suspended for 6 months for Zhenlong securities XinDa account permissions specialty heavy penalties commission to investigate with Washington in September 9th, the "Securities Daily" the reporter was informed that the Commission has the Henderson securities limited liability company (hereinafter referred to as Henderson securities), Fortune Securities Limited liability company (hereinafter referred to as Fortune Securities take the administrative supervision measures). From March to 2016 May, the Commission launched a hosted brokerage executive investors in the management of the special inspection, the investigation found, part sponsored by brokerage executive three new board investors in the management situation is not in place. Among them, Henderson securities, Fortune Securities has failed to strictly implement the provisions, the opening of the new board trading privileges for a large number of substandard investors, investors risk assessment management loopholes, and not in the Commission to carry out inspection and truthfully report the problem. According to the relevant provisions of the "Regulations" of the supervision and administration of securities companies, the Commission adopted shall be ordered to make corrections and suspended in the new three new customer access to trading business for 6 months the administrative measures on the regulation of securities Henderson, fortune securities. The Commission informed the 2 cases by XinDa securities Zhenlong specialty heavy penalties in Washington in September 9th, the Commission spokesman Deng Ge said, the Commission recently in accordance with the law on the 2 case to make administrative punishment and shichangjinru. In 1 cases of illegal intermediaries in the case of XinDa securities as sponsor, the recommended Zhenlong specialty for IPO and listing process, not in accordance with the "standards" sponsor due diligence requirements of Zhenlong specialty production, sales and inventory for careful verification, false records issued by the issuance of the recommendation letter and other documents. According to the "Securities Law" provisions, the Commission decided to confiscate the XinDa securities business income of 1 million 600 thousand yuan, and impose a fine of 3 million 200 thousand yuan; the signature sponsor representative source, Li Wentao given a warning, and were fined 300 thousand yuan. At the same time, according to the "Securities Law" and "securities shichangjinru" provisions of the relevant provisions, the signature of the sponsor representative source, Li Wentao were taken 5 years of securities shichangjinru measures. In 1 cases of securities practitioners illegal stock trading case in October 10, 2009 to October 25, 2014, Guan Zuqing served as Xiangcai securities Limited by Share Ltd Beijing Road business department manager, working in Zuqing by others during the pipe securities accounts for trading stocks, selling stocks earnings of about 10 million 700 thousand yuan, and another part of the stock has not been sold. In violation of the "Securities Law" Guan Zuqing of the above acts according to the provisions of article forty-third, the "Securities Law" provisions of article 199th, the Commission decided to Guan Zuqing, confiscate the illegal income of about 10 million 700 thousand yuan, in addition to about 32 million 180 thousand yuan fine; Guan Zuqing ordered in accordance with the law of illegal possession of the remaining stock, confiscate the illegal income, impose a fine of 3 times the illegal income; if no illegal income, according to the actual cost of the purchase of the shares, impose a fine equal. At the same time, according to the "Securities Law" and "securities shichangjinru" provisions of the relevant provisions, take 5 years of securities shichangjinru measures of Zuqing. Commission to investigate the issue of a private letter Phi violations相关的主题文章: