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南昌证券监管特派员办事处:最近,中国证监会对江西省国际信托投资公司(以下简称“江西国投”)提前向客户解冻新股申购资金等违规行为进行了调查。经查实,江西国投南昌等地的证券营业部在1998年1月至7月间,允许客户在 T+3日(申购日后的第三日)动用尚处于冻结中的新股申购资金,再加上头寸调拨不及时,导致5月中旬江西国投在上海证券中央登记结算公司的清算帐户出现透支。江西国投的上述行为,违反了中国证监会《关于股票发行与认购方式的暂行规定》(证监发字[1996]423
Nanchang Securities Regulatory Commission Office: Recently, China Securities Regulatory Commission (CSRC) investigated the illegal behaviors such as Jiangxi International Investment and Trust Company (hereinafter referred to as “Jiangxi SDIC”) thawing subscription funds for new shares to customers. Upon verification, the securities business department of Jiangxi SDIC Nanchang and other places allowed the client to use the frozen subscription of new shares on T + 3 (the third day after the subscription date) from January to July 1998, The transfer of the position was delayed, resulting in an overdraft on the liquidation account of Jiangxi SDIC in Shanghai Central Securities Depository and Clearing Co., Ltd. in mid-May. The aforesaid acts of Jiangxi SDIC violated the Interim Provisions on the Method of Stock Issuance and Subscription by China Securities Regulatory Commission (Zheng Jian Fa Zi [1996] 423