Note that both borrowing and borrowing securities accounts must be punished!Five "post -85s" lenders were fined 30,000 yuan each

There are new penalties for borrowing their own securities accounts and borrowing of other people's securities accounts. Recently, the Tianjin Securities Regulatory Bureau fined 300,000 yuan on the securities account of Wuxi Jiahe and Rong Rong, and also fined 5 borrowers of 30,000 yuan. According to incomplete statistics from reporters, at least 5 people have been punished this year.

The reporter noticed that the new "Securities Law" has expanded the scope of prohibition and use of other people's accounts, and incorporated natural persons and illegal institutions into the scope of regulatory scope of securities accounts for securities accounts for borrowing securities accounts or borrowing others.

Five borrowers were fined together

Investigation of Tianjin Securities and Supervision Bureau showed that on March 19, 2021, according to Wuxi Jiahe Rong International Trade Co., Ltd. (hereinafter referred to as Wuxi Jiahe Rong), Tao Mouwei, the actual controller of Tao Mouwei, Wuxi Jiahe and other company banks actively controlled by Tao Mouwei The account raised 10 million yuan in funds, and transferred to Wuxi Jia and the "Huamoufan" Zhongjin Fortune Securities account, which was borrowed, and used Huamian Fan according to Tao Youwei instructions to use 7.09 million yuan to buy "Tianyu Information", 2021, 2021, 2021, 2021, 2021 On March 22, the sale, the total of about 7.56 million yuan was sold for a total of about 7.56 million yuan. The securities account of Huaman, Hu, and Yang was used to trade "Harbin Guard Smart" through the Song's bank account.

From March to May 2021, in accordance with Tao Mouwei, Wuxi Jiahe and Rong Rong's bank accounts such as other companies that actually controlled by Tao Youwei raised more than 2 million yuan in funds, and sold the "Tianyu information information" with the "Huamoufan" Zhongjin Fortune Securities account. "The income of about 7.56 million yuan, transferred to Wuxi Jiahe" Hua Moufan "," Song "," Hu Mou "," Wang "," Yang Mou "securities account for buying" Harbin Guard Smart ", Hua Moufan, Song Mou, Hu, Wang, and Yang completed the transaction in accordance with Tao Mouwei's instructions to operate their respective accounts. The actual loss of the transaction was borne by Wuxi Jiahe.

The Tianjin Securities Regulatory Bureau stated that Wuxi Jiahe Rong's above -mentioned behavior violated Article 58 of the Securities Law, constituting the borrowing of other people's securities accounts in Article 195 of the Securities Law to engage in securities trading behavior. Therefore, Wuxi Jiahe was ordered to correct it, given warnings, and imposed a fine of 300,000 yuan.

At the same time, the Tianjin Securities Regulatory Bureau also stated that the behavior of five borrowers of Huaman, Song, Hu, Wang, Wang, and Yang constituted the securities account of Article 195 of the Securities Law. Engage in securities transaction behavior. Therefore, the Tianjin Securities Regulatory Bureau fined the five borrowers for 30,000 yuan. It is worth mentioning that the five borrowings are "post -85s" and the smallest was born in 1994.

There have been many cases of borrowing and borrowing during the year

The reporter noticed that before the revision of the Securities Law, it stipulated that "the legal person is prohibited from illegally using other people's accounts to engage in securities transactions; the legal person is prohibited from lending its own or others' securities accounts." However, in practice, there are often natural people borrowing other natural person securities accounts to carry out illegal transactions, harming the legitimate rights and interests of investors, and seriously disrupting the market order. Lawyer Xu Feng, director of Shanghai Jiucheng Law Firm, told reporters that of which natural persons borrowed other natural person securities accounts to engage in money laundering, insider transactions, and even manipulating the market.

Therefore, the new "Securities Law" further strengthened the real -name system requirements of the account, expanded the main scope of prohibiting from lending and using other people's accounts, and incorporated natural people and unincorporated institutions into the securities account for borrowing from securities accounts or borrowing others to engage in securities transactions. Scope of regulation.

Although the new "Securities Law" already has new regulations, and various securities companies have continuously conducted investor education, there are still new penalties. Since the beginning of this year, the above -mentioned penalties have not been included. Five natural persons have been punished for borrowing and lending securities accounts.

In March 2022, the Qinghai Securities Regulatory Bureau fined Zhang Moufeng's borrowing of other people's securities accounts, and also fined 50,000 yuan for the borrower Wang.

In May 2022, the Guangdong Securities Regulatory Bureau took administrative regulatory measures that Liao Mouming, a borrower of the securities account, was ordered. Because Liao Mouming was arranged by Liao Mouqing, the former director and deputy general manager of a mechanical company in Guangdong, he lent his two securities accounts under his name to Liao Mouqing. The case was the continuation of the Liao Mouqing case. In December 2021, the Guangdong Securities Regulatory Bureau imposed an administrative penalty of Liao Mouqing, revealing that Liao Mouqing controlled the illegal act of controlling others' securities accounts, including the actual control of 2 securities accounts under Liao Mouming's name.

In June 2022, the Zhejiang Securities Regulatory Bureau fined 30,000 yuan in the behavior of Yu Mouwei and Zhuang Mouying, respectively.

Daily Economic News

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