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成交近千万,赚了5600块!“95后”证券从业者,违规炒股被罚!
证券时报·2025-07-28 08:20

Core Viewpoint - The article discusses the administrative penalties imposed by the Xiamen Securities Regulatory Bureau on three securities practitioners for illegal stock trading activities, highlighting the need for stricter compliance and internal monitoring within securities firms [1][4][11]. Group 1: Penalties on Practitioners - A "post-95" practitioner engaged in illegal stock trading with a total transaction amount of approximately 9.79 million yuan, earning a profit of 5,579.29 yuan, and was fined 40,000 yuan [1][4]. - Another practitioner, born in 1986, traded stocks and convertible bonds with a total transaction amount of 1.92 million yuan, earning a profit of 4,069.91 yuan, and was also fined 40,000 yuan [1][9]. - The third practitioner, born in 1973, had a total transaction amount of about 5.77 million yuan, incurring a loss of 48,555.17 yuan, and was fined 40,000 yuan [1][13]. Group 2: Regulatory Actions - The Xiamen Securities Regulatory Bureau has initiated a special rectification plan to combat illegal trading by securities practitioners, emphasizing the importance of compliance management and internal monitoring within securities firms [1][4]. - The bureau plans to conduct on-site inspections to ensure that securities companies strengthen their internal monitoring, self-examination, and accountability mechanisms [1][4].