Shareholders sued the CIC securities margin illegal misleading ETF operation was sentenced to compen winpm

Shareholders sued the CIC securities margin illegal misleading ETF operation is sentenced to compensate for more than 80 thousand Sina App: Live on-line blogger to guide you with entries you earn will always let you my sina finance news recently, Sina financial investors received complaints platform Mr. Huang’s complaints, complaints Huang Xing investment securities business department without open purchase, ETF the redemption function of alleged illegal operation of margin trading system. The complainant said Mr. Huang, the business department is not in accordance with the relevant provisions of the operation, without open stock account ETF purchase function, did not inform the operating rules, not ETF subscription and redemption risk warning, according to the conventional stock trading for their own misleading rules; and failing to set up the capital account in freezing freezing proportion, lack of funds under the condition of providing funds privately, contributed to the completion of the transaction, then from my account debit, resulting in personal accounts repeated huge negative assets, the actual formation of common stock account for half a day 29 handed about 1300000 yuan overdraft in fact. The complainant Mr. Huang pointed out that this behavior is suspected of "financing" and fraud, there are security risks of securities investment ETF subscription and redemption of the trading system, will cause the financial risk of the entire financial market stock, pose a threat to the stability of the financial market. December 2015, Mr. Wong will invest in Shanghai securities Huang Xing Road Sales Department to Shanghai Yangpu District people’s court. In July 29, 2016, the Shanghai Yangpu court verdict: ten days to compensate the plaintiff Huang Yuncai capital losses of RMB 85663 yuan Chinese Investment Securities Co. Ltd. Shanghai Yangpu District Huang Xing Road Securities business department shall come into effect from the date of the judgment. August 1, 2016, the Shanghai Securities Regulatory Bureau conducted a detailed investigation to identify the fact that the appellant illegal operations, according to the rules of the appellant to take administrative supervision measures. Sina Finance interviewed about the complaint of securities investment business department general manager Huang Xing Huang, he responded that the Commission has made a deal, the court has made a judgment on the corresponding punishment approval, other matters not to add personal. Mr. Huang pointed out that the investment securities in violation of the following provisions of the securities law article 152nd: securities company directors, supervisors and senior management personnel failed due diligence is the major illegal behavior in securities companies or major risk, the securities regulatory authority under the State Council may revoke the qualifications, and ordered the company to replace. 153rd securities companies illegal business operation or serious risk of serious harm to the order of the securities market and damage the interests of investors, the securities regulatory authority under the State Council for the securities company shall be ordered to take rectification, other agencies designated custodian, take over or cancellation of such regulatory measures. 205th where a securities company violates the provisions of this law, by providing securities financing, confiscate the illegal income, suspend or revoke the relevant business license, and impose a fine below the value of illegal financing. Give a warning to the directly responsible personnel in charge and other directly responsible personnel, revocation of securities business qualifications or qualifications, in addition to three相关的主题文章: