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江门证券有限责任公司:中国证券监督管理委员会对江门证券有限责任公司(以下简称“江门证券”)违反证券法规的行为进行了调查。一、违规事实(一)长期帐外经营经查,江门证券自1992年至1998年末,将部分自营收入、利息收入和债券业务,以及收取的下属营业部风险金等转到帐外,共计7554万元,用以支付发行手续费、江门人行管理费、公司的费用和充实资本金等。(二)违规买卖股票1、利用个人股东帐户从事自营业务。经查,江门证券自1997年6月至1998年8月,利
Jiangmen Securities Co., Ltd.: China Securities Regulatory Commission conducted an investigation on the violation of securities laws and regulations by Jiangmen Securities Co., Ltd. (hereinafter referred to as Jiangmen Securities). I. Violation Facts (I) After long-term non-operating businesses were investigated, Jiangmen Securities transferred part of its self-operated revenue, interest income and bond business from 1992 to the end of 1998, as well as the risk funds received from its sales department, etc., totaling 75.54 million yuan, to pay the issuance fee, management fees Jiangmen people, the company’s expenses and substantial capital. (B) the illegal trading of shares 1, the use of individual shareholders account for self-employed business. After investigation, Jiangmen Securities from June 1997 to August 1998, Lee