证券时报·2025-05-31 23:54Core Viewpoint - The article discusses recent administrative penalties imposed by the Anhui and Jilin Securities Regulatory Bureaus on individuals for insider trading and violations of securities regulations, highlighting the misuse of non-public information by securities professionals [1][6]. Group 1: Anhui Securities Regulatory Bureau Case - Li Haipeng, a senior manager at CITIC Securities, was investigated for insider trading using non-public information obtained through the CRM system from November 1, 2019, to February 21, 2023 [1][4]. - Li controlled the "Chengmou1" account group, which included multiple accounts operated by family members, and engaged in trading activities that resulted in a total trading amount of 64.838 million yuan, with 29.0038 million yuan linked to the high certain fund [3][4]. - The Anhui Securities Regulatory Bureau decided to confiscate Li's illegal gains of 2.13137 million yuan and impose a fine of the same amount, totaling 4.2627 million yuan [4]. Group 2: Jilin Securities Regulatory Bureau Case - Shao, a securities professional at Huatai Securities, was found to have used non-public information for trading from January 6, 2023, to November 10, 2023, accessing the X system 984 times during this period [6][7]. - Shao controlled the "Yangmou" securities account, engaging in transactions that mirrored Huatai Securities' proprietary trading, with a total buy amount of 31.53376 million yuan, where 72.5% of the stocks traded were aligned with proprietary trades [7]. - The Jilin Securities Regulatory Bureau imposed penalties on Shao, including the confiscation of illegal gains of 193,900 yuan and fines totaling 1,075,700 yuan for both insider trading and violations of securities trading regulations [8].