General manager of the Department of Oriental Securities frequent business risk trap insider trading 9c8996

Orient Securities business department general manager in the risk of frequent insider trading Zhao Siyin in July this year, listed on the Hongkong Stock Exchange on the Orient Securities before the China Securities Industry Association Bulletin named 17 products, Orient Securities, a wholly owned subsidiary of the new play was included in the blacklist of placing the object, the time limit for half a year. This is not the first such "Oriental Securities facing unexpected trouble". Two weeks ago (August 19th), due to alleged insider trading, securities business department general manager Li Wenjie punishment on labor West Orient Securities Changsha City, and take 7 years banned from the securities market regulatory measures. At the same time, the performance of the semi annual report of the eastern securities also do not look good. Reported that the company achieved operating income of 2 billion 893 million yuan in the first half, down by $73.70%, attributable to shareholders of the parent company net profit of $1 billion 283 million, compared with last year dropped by 78.16%. Blacklisted VS subsidiary is late September 8th survey data, China Securities Industry Association Bulletin, three, China for participating in the nuclear construction, Shanghai and Shanghai shares under the net purchase, not on time pay the full subscription funds, but did not provide a valid offer to participate in the purchase, decided to violate the 50 object placement rules included in the blacklist, blacklist time to March 7, 2017. According to the briefing, Orient Securities Asset Management Limited (hereinafter referred to as the "Topix information management") 17 products for "but did not provide a valid offer to participate in the purchase of violation and was named informed. Two weeks ago (August 19th), the Commission bursts of two administrative penalty decision to Orient Securities, not only will Bo Yun new material assets acquired behind the case of insider trading and involved the Bo Yun new materials high shareholder venture capital general manager Xie Xuan exposure, also take 7 years banned from the securities market regulatory measures to the general manager of Orient Securities Changsha City Labor Road business department Li Wenjie. It is understood that because of the Orient Securities business cooperation with high venture, Li Wenjie and Xie Xuan known for many years, and two people have more frequent contact in the period from December 31, 2013 to May 24, 2014, during Li Wenjie’s use of "Chen Xiang" and "Gu Mouhui" two securities account transactions "Bo Yun of new material". After the investigation and hearing, the Commission noted that Li Wenjie illegal facts above, a related announcement, the relevant personnel inquiry transcripts, personnel communication records, involving account opening information, transaction flow, funds transfer records and other evidence sufficient to identify insider trading behavior. As a securities market practitioners, Li Wenjie paid a heavy price for the insider trading behavior. SFC Li Wenjie not only to confiscate the illegal income 2 million 171 thousand and 400 yuan, a fine of 6 million 514 thousand and 100 yuan, 7 years to take more securities shichangjinru measures against it. Even in June when the Oriental Securities shares hearing on the occasion, Orient Securities also failed to get a clean". In June 16th, after failing to effectively fulfill the responsibilities of asset management, according to the relevant provisions of the "Regulations" for the administration of futures trading, the company’s wholly-owned subsidiary of Shanghai Topix Futures Co. Ltd. received China Securities Regulatory Commission the "investigation notice", the Commission will conduct investigation on the Topix futures. However, the existence of internal control and other issues of Oriental Securities, as of press time reporter, the company has not yet received a reply. Beyond all doubt。相关的主题文章: