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又见证券从业人员违规炒股被罚!
券商中国·2025-05-18 10:38

Core Viewpoint - Recent regulatory actions have been taken against multiple securities industry professionals for illegal stock trading, highlighting the enforcement of compliance with securities laws and the need for stricter management of industry personnel [1][4][8]. Group 1: Regulatory Actions - The Xinjiang Securities Regulatory Bureau imposed a fine of 50,000 yuan on a financial supervisor, Zhu, who controlled another person's account to buy stocks totaling nearly 30 million yuan, resulting in a loss of 200,000 yuan [1][3]. - Several other industry professionals have also faced penalties, including warnings and regulatory talks, for similar violations of securities laws [4][5]. Group 2: Violations and Penalties - Chen, another securities professional, received a warning for using another person's account to trade stocks, violating the Securities Law [5][6]. - Another individual, also named Zhu, was subjected to regulatory talks for failing to adhere to proper trading practices, which constitutes a violation of the Securities Law [6][7]. Group 3: Strengthening Regulations - The China Securities Association is drafting guidelines to manage the investment behavior of securities company executives and employees, aiming to prevent illegal trading and insider trading [8][9]. - The China Securities Regulatory Commission plans to enhance regulatory enforcement, including strict penalties for violations and a comprehensive management system for industry personnel [8][9].