Brokerage check for 3 years! Strictly prevent employees from trading stocks! 200 million shareholders strongly recommend: check the illegal sponsorship of the brokerage and compensate the losses of shareholders!
A leading brokerage firm has been inspected for three years to strictly prevent employees and relatives from speculating in stocks in violation of regulations
On July 2, according to a report by 21 Finance, there were leading brokerages (CITIC Securities? The practitioner told reporters that the securities company where he works is recently opening a three-year internal audit of the stocks of internal employees and their relatives; In order to maximize the verification of employees' illegal stock speculation.
The interviewee said that the reason why the securities company internally verifies the stock account of the employee's relatives is not limited to the stock account itself of the employee's relatives, but by locking the IP equipment of the employee's relatives account and the account information that the IP has traded, so as to trace the real actual controller of the stock account, and judge whether the securities company's employees have violated the rules to speculate in stocks based on these important information.
The China Securities Regulatory Commission has investigated and dealt with a number of illegal brokers, and it is rumored that it has been investigated for ten years, and more than 100 IPO declarations have been withdrawn overnight!
It is worth mentioning that after the stock market crash on the eve of the Spring Festival, Wu Qing, the new chairman of the Securities Regulatory Commission, known as the butcher of the brokerage, took office; The brokerage circle and the fund company circle began to tremble, and the rumors in the industry at that time were even more exaggerated, and the rumors said that the China Securities Regulatory Commission would investigate the legal compliance issues of securities companies and fund companies for ten years!
Especially on the Chinese New Year's Eve, former executives and nearly 100 internal employees of China Merchants Securities were severely investigated and punished by the CSRC for illegal stock speculation; Let the majority of shareholders applaud...
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During the same period, the China Securities Regulatory Commission also severely investigated and dealt with several cases of fraudulent IPOs and severely fined relevant reporting companies; For a time, more than 100 companies queuing up to apply for IPO were so frightened that they took the initiative to withdraw their IPO applications overnight, and the sponsors related to these companies - major brokerages were even more panicked...
Since then, a leading brokerage firm has been supervised by the China Securities Regulatory Commission (CSRC) because of the issue of sponsoring an IPO in violation of regulations, which has once again triggered widespread heated discussions in the investment market.
However, there are no results of the investigation and punishment of some brokerages for violations of laws and regulations in the past period of time.
200 million shareholders strongly recommend: strictly investigate the fraudulent IPO, fraudulent additional issuance and issuance of bonds of bad brokers!
Especially in the past few years, many securities firms have cooperated with listed companies to fraudulently sponsor IPOs, securities firms to publish research reports in violation of regulations, securities firms to cooperate with financial fraud in listed companies to issue additional issuances in violation of regulations, securities companies to cooperate with financial fraud in listed companies to issue debts in violation of regulations, and other problems that seriously damage the legitimate rights and interests of the majority of investors.
With regard to the fraudulent IPO, financial fraud, fraudulent issuance of bonds and additional shares of listed companies, Professor Liu Jipeng of China University of Political Science and Law suggested that the assets of the major shareholders and executives of these listed companies must be investigated and frozen to compensate investors for losses.
In the same way, the gatekeepers and sponsors of these garbage listed companies - securities firms must be strictly held accountable and strictly investigated; The penalty should be in the form of being responsible for compensating the investor for part of the loss!
Brokerage firms check whether the accounts of employees and relatives are involved in illegal stock speculation, which is indeed of certain significance to promote the fairness of the stock market; But the actual effect is not big~
Especially since the issuance of the nine articles of the new country, more than 100 listed companies have been investigated, hatted and delisted due to financial fraud, fraudulent issuance and other issues, resulting in heavy losses and loss of capital for more than 10 million shareholders!
In this regard, the sponsors of more than 100 listed companies that have been thundered due to violations of laws and regulations, major securities firms, are even more responsible.
200 million shareholders and 600 million people strongly suggest: for the brokerages that have violated laws and regulations in the past few years, they must be investigated substantively, and they must be responsible for compensating investors for part of the losses! It's better to look back ten years!