太平洋证券某从业人员被罚 违规交易超3000万亏40万

Core Points - The China Securities Regulatory Commission (CSRC) has imposed a fine of 50,000 yuan on Wang Panyi for illegal trading activities involving stocks and convertible bonds [2][8] - Wang Panyi, as a securities practitioner at Pacific Securities Co., Ltd., used a controlled account to buy and sell stocks and convertible bonds from February 2017 to August 2024, resulting in a total purchase of approximately 31.05 million yuan and a sale of about 30.66 million yuan, leading to a loss of around 405,100 yuan [1][6][7] Regulatory Violations - Wang Panyi's actions violated several provisions of the Securities Law, including Article 43, which prohibits certain personnel from trading stocks, and Article 199, which outlines penalties for illegal trading [3][4][7] - The trading of convertible bonds occurred between October 2020 and March 2024, with total purchases of approximately 23,000 yuan and sales of about 27,100 yuan [1][6] Evidence and Proceedings - The investigation was supported by various forms of evidence, including employment certificates, account information, inquiry records, and transaction logs [7] - Wang Panyi did not contest the charges or request a hearing during the investigation process [5][8]