Core Viewpoint - The article discusses the penalties imposed by the Qinghai Securities Regulatory Bureau on an individual named Xie for insider trading and violations related to stock trading as a securities professional, resulting in a total fine of 1.53 million yuan [2][8]. Summary by Sections Insider Trading Case - Xie, born in 1993, was involved in the major asset restructuring project of Tengjing Technology and was aware of insider information, leading to a loss of approximately 50,000 yuan from trading Tengjing Technology shares [2][3]. - During the insider information sensitive period from October 9, 2024, to February 26, 2025, Xie bought 57,485 shares of Tengjing Technology for a total of 2.4666 million yuan and sold them for 2.4162 million yuan, incurring a loss of about 50,000 yuan [3][4]. Violations as a Securities Professional - Xie worked at a securities company from May 11, 2021, until the investigation date of June 24, 2025, and engaged in stock trading outside the insider information sensitive period, with total purchases amounting to 7.1671 million yuan and sales of 6.6437 million yuan, resulting in a cumulative loss of approximately 496,500 yuan [5][6]. Regulatory Findings - The Qinghai Securities Regulatory Bureau found sufficient evidence, including announcements and transaction records, to confirm Xie's violations of the Securities Law, specifically regarding insider trading and improper stock trading as a securities professional [6][7]. - Xie's defense claimed that his trading decisions were based on a positive outlook for Tengjing Technology rather than insider information, and he cooperated with the investigation [6][8]. Penalty Decision - The regulatory bureau concluded that Xie's actions constituted insider trading and improper stock trading, leading to a fine of 1.5 million yuan for insider trading and 30,000 yuan for improper trading, totaling 1.53 million yuan [8].

9月25日晚，证监会官网公布了四份行政处罚决定书，从内容来看，均指向了从业人员违规买卖股票。 具体来看，四份行政处罚决定书指向了四名证券从业人员。其中，展翔涉案金额较大，被证监会罚没共 计1.59亿元。 展翔被罚没1.59亿元 证监会对展翔作为证券从业人员违规买卖股票的行为进行立案调查。经查明，展翔存在以下违法事实: 案涉期间，展翔为证券公司从业人员，其在从业期间通过他人违规投资交易多个公司股票。2018年2月 至2024年10月,展翔控制使用多个他人证券账户持有、买卖多只股票。 证监会认为，展翔的上述行为违反了2005年修订的《中华人民共和国证券法》第四十三条第一款、《证 券法》第四十条第一款的规定,构成2005年《证券法》第一百九十九条、《证券法》第一百八十七条所 述的违法行为。 最终，证监会决定：责令展翔依法处理非法持有的股票，并处罚没款共计159497159.49元。 金亚平被罚没超千万 证监会对金亚平作为证券从业人员违规买卖股票的行为进行立案调查。经查明,金亚平存在以下违法事 实:案涉期间，金亚平为证券公司从业人员。2008年3月至2024年10月，金亚平使用他人证券账户违规持 有、买卖多只股票。 ...