论文部分内容阅读
申银万国证券股份有限公司青岛营业部:最近,中国证券监督管理委员会会同中国人民银行对申银万国证券股份有限公司青岛营业部(以下简称“申万青证”)违反证券法规的行为进行了调查。现已查实申万青证以下违规行为:1996年10月至12月,申万青证利用从中国光大银行青岛分行拆借资金累计2300万元,通过20个个人股票帐户申购新股,共获利12.1万元。申万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
Shenyin & Wanguo Securities Co., Ltd. Qingdao Sales Department: Recently, China Securities Regulatory Commission (CSRC) and the People’s Bank of China (PBOC), in violation of the securities laws and regulations, conducted the business in Qingdao Branch of Shenyin Wanguo Securities Co., Ltd. (hereinafter referred to as “Shen Wan Qing Zheng”) survey. Now verified the following violations SWS: October 1996 to December, SWS use Qingdao Branch of China Everbright Bank borrowing funds accumulated 23 million yuan, through 20 individual stock account subscription of new shares, a total profit of 121,000 yuan. The above behavior of SWS violates Article 4 of the Notice of the People’s Bank of China on Further Strengthening the Management of Inter-bank Lending (Yin Fa [1993] No. 27). It is strictly forbidden to engage in capital inflows to engage in investment in fixed assets and purchase of securities. “The provisions constitute the” stock issue and