The investment manager of securities firms illegally traded stocks, with a cumulative transaction of over 40 million yuan and a loss of 133,000, and was fined 200,000.

Zhongxin Jingwei, September 6th (Ma Jing) Recently, an administrative penalty letter released by the CSRC showed that Kong Moumou, who had worked in the investment manager of the Securities Investment Department of Minsheng Securities and Founder Securities, borrowed a relative account to buy and sell 133 Only stocks, a total of more than 45 million yuan in sales, a total of 133,000 yuan. The CSRC eventually made a fine of 200,000 yuan.

The penalty decision shows that from March 29, 2017 to July 5, 2017, Kong Moumou worked in the second department of Huarong Securities Asset Management and served as an investment manager; from January 23, 2018 to March 2020, 2018, Kong Moumou worked as an investment manager at the Securities and Investment Department of Minsheng Securities Investment and Trading Division; from March 30, 2020 to May 20, 2020, Kong Moumou worked at the Securities Investment Department of the Founder Securities Asset Management Branch and served as investment. The person in charge of the manager and equity research.

The CSRC comprehensive Kong Moumou's self -consated of ordering the order number, the relevant parties' description of the parties, and the transfer of silver transfers and other evidence. From March 30 to May 2020, controlled the use of his uncle Liu Moumou's financial securities account for securities transactions, and related profit belonged to Kong Moumou. The time period of the illegal trading stock trading is exactly during the period of the investment manager of the Securities Investment Department of the Securities and Investment Department of Ren Minsheng Securities and Investment and Trading Department of Ren Minsheng Securities, the Founder Securities Asset Management Branch Investment Manager and Leader of Rights Research.

Administrative penalties show that from 2015, Kong Moumou's uncle Liu Moumou's Caixin Securities account opened to the final trading day of the account (August 4, 2021), the account was transferred to 11 funds, a total of about 676,900 yuan, of which 200,000 yuan from Kong Moumou's mother, 376,900 yuan (32,000 yuan containing friends and 40,000 yuan in cash deposits) from Kong Moumou.

However, Kong Moumou traded 133 shares such as "CITIC Securities" and "Ping An Bank", such as "CITIC Securities" and "Ping An Bank", with his uncle Liu Moumou's account. Finally, the cumulative loss was about 133,000 yuan.

The CSRC believes that Kong Moumou violated Article 40 of the Securities Law, paragraph 1, paragraph 1: securities trading venues, securities companies, and securities registration and settlement institutions, staff of securities supervision and management institutions, and laws and administrative regulations. Other personnel participating in stock transactions shall not directly or within the term of office or during the period, shall not directly or use the pseudonym, hold, buy and sell stocks or other equity securities in the name of a pseudonym, shares or other equity. Essence In the end, a fine of 200,000 yuan on Kongmou was fined. At present, China Securities Association's official website cannot inquire about Kong Moumou's appointment information.

According to the incomplete statistics of Zhongxin Jingwei, this is already the 11th of the 11th pass of the certificate industry announced by the Securities and Futures Commission this year. Earlier, Guojin Securities, Changjiang Securities, China Post Securities, Haitong Securities, Guosheng Securities, Guangfa Securities, Hualin Securities, Guoxin Securities (two cases), Xiangcai Securities and Huarong Securities (for the same person) all existed The situation where employees were regulated by employees were punished by regulations. The highest position was Liu, who had served as the deputy director of Haitong Securities Asset Management, and was fined 109 million yuan. (For more report clues, please contact the author Ma Jing, mailbox: [email protected]) (Zhongxin Jingwei APP)

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Editor in charge: Li Zhongyuan

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