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长春证券有限责任公司:经查,你公司总部1997年7月未挪用客户保证金205.2万元,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。1997年,你公司总部以2位股民名义申购新股7只,售出后获利9万元,违反了《证券经营机构证券自营业务管理办法》第十四条第(二)项的规定,构成《股票条例》第七十一条第(五)项所述的行为。此外,你公司高科技营业部等3个营业部1997年向股民透支1,463万元。其中:(1)1997
Changchun Securities Co., Ltd.: After investigation, your corporate headquarters did not appropriate a deposit of RMB2,520,000 to its customers in July 1997, forming the basis of Article 71 (6) of the Provisional Regulations for the Administration of Stock Issuance and Trading (the “Stock Regulations” ) Described in the item. In 1997, your company headquarters subscribed for 7 new shares in the name of 2 shareholders and earned a profit of 90,000 yuan after the sale. This violates the provisions of Item (2) of Article 14 of the Measures for the Management of Self-holding Business of Securities Institutions, Constitute an act as described in Article 71 (5) of the Stock Regulations. In addition, your three high-tech business department sales department in 1997 to shareholders overdraft 14.63 million yuan. Of which: (1) 1997