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新疆证券有限责任公司:经查,你公司1997年4月11日止挪用客户保证金1,377万元,构成《股票发行与交易管理暂行条例》(以下简称《股票条例》)第七十一条第(六)项所述的行为。此外,1997年,你公司总部及下属哈密营业部以个人帐户申购新股28只及自营,共获利780.51万元,其中:(1)总部以个人股票帐户申购新股28只,获利780.51万元;(2)哈密营业部以马耘个人帐户进行股票二级市场自营,造成亏损。上述行为,违反了《证券经营机构证券自营业务管理
Xinjiang Securities Co., Ltd.: After investigation, your company misappropriated a deposit of RMB13.77 million to customers as of April 11, 1997, forming the basis of the provisions of Article 71 (1) of the Provisional Regulations for the Administration of Stock Issuance and Trading (the “Stock Regulations” VI) the behavior described. In addition, in 1997, your company headquarters and its subordinate Hami Sales Department subscribe for 28 new shares and self-employed with a personal account. The total profit of the company is 7,875,100 yuan, of which: (1) The headquarters subscribes for 28 new shares with an individual stock account with a profit of 7,851,100 yuan Yuan; (2) Hami Sales Department to Ma Yun personal account of the stock secondary market self-employed, resulting in loss. The above act violated the “self-managed business of securities institution securities.”