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海通证券有限公司青岛业务总部:最近,中国证券监督管理委员会会同中国人民银行对海通证券有限公司青岛业务总部(以下简称“海通青证”)违反证券法规的行为进行了调查。现已查实海通青证以下违规行为:1996年5月至12月,海通青证利用从中国光大银行青岛分行拆借资金累计3.3亿元,通过借用他人股票帐户申购新股,共获利130.6万元。海通青证的上述行为违反了中国人民银行《关于进一步加强对同业拆借管理的通知》(银发[1993]27号)第四条关于“严禁用拆入资金搞固定资产投资、购买有价证券”的规定,构成了《股票发行与交易管理暂行条例》(以下简称《股票条例》)第七十四条第(十)项所述“其他非法从事股票发行、交易及其相关活动的”行为。海通青证的上述行为还违反了《证券经营机构
Haitong Securities Co., Ltd. Qingdao Business Headquarters: Recently, China Securities Regulatory Commission (CSRC) and the People’s Bank of China conducted an investigation into the violation of securities laws and regulations by Haitong Securities Co., Ltd. Qingdao Business Headquarters (hereinafter referred to as “Haitong Qingzheng”). Haitong Qingzheng has now verified the following violations: From May to December 1996, Haitong Qingzheng used a total of RMB330 million borrowed and lent funds from China Everbright Bank Qingdao Branch to obtain a total profit of RMB1.016 million through the subscription of new shares by borrowing others’ stock accounts. Haitong Qingzheng of the above behavior in violation of the People’s Bank of China “on Further Strengthening the Management of Inter-bank Loans” (Yin Fa [1993] No. 27) Article IV “Prohibit the use of funds to engage in demolition of fixed assets investment, purchase of securities The provisions of Article 74 (10) of the Provisional Regulations for the Administration of the Issuance and Trading of Stocks (hereinafter referred to as ”the Stock Regulations“) constitute other issues that are unlawfully engaged in the issuance and trading of stocks and their related activities ”behavior. Haitong Qingzheng of the above behavior also violated the "securities business institutions