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青海证券有限责任公司深建证券营业部:中国证券监督管理委员会(以下简称“中国证监会”)对青海证券有限责任公司深建证券营业部(以下简称“青海证券深建营业部”)违反证券法规的行为进行了调查。一、违规事实1998年5月至1999年6月,青海证券深建营业部为客户股票交易提供融资,最大额为2273万元,共收取利息53.9万元。
Qinghai Securities Co., Ltd. Shen Jian Securities Sales Department: China Securities Regulatory Commission (hereinafter referred to as the “China Securities Regulatory Commission”) on the Qinghai Securities Securities Co., Ltd. Jian Shen Securities Sales Department (hereinafter referred to as “Qinghai Securities Depth Sales Department ”) In violation of the securities laws and regulations were investigated. First, the fact that irregularities May 1998 to June 1999, Qinghai Securities Department of Construction business to provide customers with stock financing, the maximum amount of 22.73 million yuan, a total of 539,000 yuan interest charged.