天津证监局罚“老鼠仓” 亏损案 指向国寿安保前员工李丹

Core Viewpoint - The article discusses the administrative penalty imposed on Li Dan, a former fund manager at Guoshou Anbao, for engaging in insider trading, resulting in a loss of approximately 33.12 million yuan and a fine of 600,000 yuan [1][2][5]. Group 1: Incident Details - Li Dan was found to have utilized undisclosed information to conduct trading activities, controlling a securities account and making decisions that led to significant losses [5][6]. - The investigation revealed that from March 22, 2022, to February 8, 2024, Li Dan engaged in trading activities that mirrored the fund's undisclosed information, with 41 stocks involved, accounting for 74.55% of the trades and 72.77% of the total trading amount [6][5]. - Despite Li Dan's claims that some trades were not directed by her and that there were reasonable explanations for the trading patterns, the Tianjin Securities Regulatory Bureau rejected her defense [5][6]. Group 2: Penalty and Consequences - The Tianjin Securities Regulatory Bureau decided to impose a fine of 600,000 yuan on Li Dan for her violations of the Securities Investment Fund Law [6][7]. - Li Dan has 15 days from the receipt of the penalty decision to pay the fine, and she has the right to appeal within 60 days or file a lawsuit within six months [7][8]. - The case highlights the regulatory scrutiny in the investment fund industry and the consequences of insider trading practices [1][5].