7月23日，厦门证监局官网发布的行政处罚决定书显示，长城国瑞证券两名员工因违规炒股被罚。 经查，陈仲宾在长城国瑞证券有限公司任职期间，于2021年3月19日至2023年1月4日使用"周某"华泰证券账户买卖股票及可转换公司债券， 总成交金额 192.46万元，累计盈利4069.91元。 厦门证监局表示，上述事实有劳动合同、证券账户开户资料、证券账户交易流水、银行账户资金流水、询问笔录、相关情况说明等证据证明，足以认定。根 据2020年《可转换公司债券管理办法》（证监会令第178号）第二条第二款规定，可转换公司债券属于《证券法》规定的具有股权性质的证券。陈仲宾、郑 瀚的上述行为违反了《证券法》第四十条第一款的规定，构成《证券法》第一百八十七条所述违法行为。 郑瀚在长城国瑞证券有限公司任职期间，于2022年2月7日至2024年2月1日使用"李某叶"长城国瑞证券账户买卖股票及可转换公司债券， 总成交金额576.67万 元，累计亏损4.86万元。 根据当事人违法行为的事实、性质、情节和社会危害程度，依据《证券法》第一百八十七条和《中华人民共和国行政处罚法》第三十二条第一项的规定， 厦门证监局决定：对郑瀚处以4万元罚款； ...

中证投服中心A股上市公司2024年年度股东会专项行权已正式收官。证券时报记者获悉，上市公司股东 会召开季，中证投服中心围绕内控机制建设、独立董事作用发挥、上市公司内部追责机制建立等方面对 21家高风险公司展开质询建议，累计抛出82个核心问题。 中证投服中心相关负责人表示，参加股东会，行使股东知情权、建议权、质询权，是中证投服中心服务 中小投资者、有效保护中小投资者合法权益的重要渠道和有力抓手。 聚焦三方面 对于高风险公司被查处的违规行为内部追责问题，中证投服中心在参会过程中同样予以重点关注。中证 投服中心现场质询时，要求部分尚未进行内部追责的公司董事会详细说明具体原因和后续计划，充分保 障中小投资者的知情权。 21家高风险公司 现场抛出82个核心问题 作为中小股东的"代言人"，中证投服中心今年将高风险公司作为股东会专项行权的重点对象。据了解， 21家高风险公司由中证投服中心会同沪深交易所以及证监会相关派出机构共同选定，皆因资金占用、财 务舞弊等违法违规行为遭受行政处罚，并被实施风险警示。 在股东会现场，中证投服中心主要围绕三个方面问题对21家高风险公司展开质询，并提出建议。中证投 服中心累计抛出82个核心问题 ...

Core Viewpoint - The recent administrative penalties imposed by the Jilin and Anhui Securities Regulatory Bureaus highlight the issue of "rat trading" among securities industry professionals, revealing significant ethical and regulatory shortcomings within the industry [1][6]. Group 1: Incident Details - Two senior IT staff members from Huatai Securities and CITIC Securities were penalized for engaging in "rat trading" by exploiting their system access to obtain non-public information about funds and client accounts [1][2]. - Li Haipeng, a senior manager at CITIC Securities, used his access to the CRM system to conduct synchronized trading with his wife's and sister-in-law's accounts, resulting in a total trading amount of 64.84 million yuan and a profit of 2.13 million yuan from 76 stocks [2][4]. - Shao, a securities professional at Huatai Securities, engaged in similar activities, controlling a trading account that executed synchronized trades on 58 stocks, with a total investment of 31.53 million yuan and a profit of 193,900 yuan [3][4]. Group 2: Regulatory Actions - The penalties for Li Haipeng totaled 4.26 million yuan, while Shao faced a combined penalty of 1.93 million yuan for his trading activities, which included a fine of 300,000 yuan for violations [4][5]. - Both individuals' actions have been characterized as exacerbating information asymmetry in the securities market, reflecting a lack of professional ethics among some industry participants [6][7]. Group 3: Industry Implications - The frequency of "rat trading" incidents has raised concerns about the adequacy of internal controls and ethical training within financial institutions, indicating a need for stronger regulatory oversight [6][7]. - Experts suggest enhancing legal frameworks and increasing penalties to deter such unethical practices, as well as employing big data technologies to improve regulatory efficiency and monitoring capabilities [7].