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The Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Nothing can be generalized with rhetoric and rational analysis in order to get the truth
The Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Nothing can be generalized with rhetoric and rational analysis in order to get the truth
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The Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Nothing can be generalized with rhetoric and rational analysis in order to get the truth

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Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Pushing Stocks Beware of Punishment

Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Pushing Stocks Beware of Punishment

  • Categories:Fairness
  • Author:
  • Origin:
  • Time of issue:2017-05-15 14:36
  • Views:

(Summary description)

Case of "Investor Protection · Clear Rules and Knowledge of Risks" —— Pushing Stocks Beware of Punishment

(Summary description)

  • Categories:Fairness
  • Author:
  • Origin:
  • Time of issue:2017-05-15 14:36
  • Views:
Information
Insider trading refers to the illegal behavior of insiders of securities trading insiders and people who illegally obtained insider information before buying or selling the securities, or leaking the information, or suggesting others to buy or sell the securities. It has multiple manifestations in practice. Form, "pillow side" insider trading is one of them. Take the following two short stories:
 
Listed company H was suspended from trading due to the planning of non-public offering of shares. The controlling shareholder Z company's wife Zangmou's wife, Chen, bought 60,000 shares of "H" before the suspension and made a profit of 73,000 yuan.
 
Listed company Y was suspended due to the planning of the non-public offering of shares. The wife of the staff member of the sponsor Z securities Yu Mou bought 13,000 shares of "Y" before the suspension. The total profit after the sale was 97,000 yuan.
 
In these two stories, Zang, the director of H company's controlling shareholder, Z company, and Yu staff member of Z Securities, are both insiders of the insider information of securities transactions stipulated by the Securities Law. "Buy stocks related to this information. According to Articles 73 and 76 of the Securities Law, insiders who know inside information and people who illegally obtain inside information must not buy or sell securities of the company. Article 2 of the Interpretation of the Supreme People's Court and Supreme People's Procuratorate on Several Issues Concerning the Specific Application of Laws in Criminal Cases Handling Insider Transactions and Disclosure of Insider Information Insiders who have close relationships with insiders who have bought or sold stocks related to the inside information during the sensitive period of inside information, whose trading behavior is obviously abnormal, and without legitimate reasons or sources of legitimate information, constitute insider trading. Although the people who were punished argued that they did not use the relevant information, they did not do what they did, because they could not escape the legal punishment. This also reminds insiders of insider information, such as directors, supervisors, and senior managers of listed companies, who must know the professional ethics of securities companies, law firms, accountants, and other intermediary agencies who know the insider information due to their positions or work reasons. The red line and the bottom line stipulated by the law, take care of "pillows" and "people around", and do not act as "rats" in the capital market.
 
Many people think that it is inquiring or listening to the news, but it is not a serious matter, but insider trading is a serious illegal act. The law provides severe sanctions, not only to make money to confiscate the illegal income, but also to double the illegal income. If the above fines are less than five times, even if they do not make money, they will be fined more than 30,000 yuan but less than 600,000 yuan. If the circumstances are serious, such as the cumulative transaction value of securities trading is more than 500,000 yuan, or the amount of profit (avoiding losses) is more than 150,000 yuan, it will also constitute the crime of insider trading and be held criminally liable. Huang Guangyu, the richest man of the year, was trapped because of insider trading and is still in prison.
 
In addition, this also has profound warning significance for the majority of investors. Don't try to inquire into the gossip and hear inside information, which contains huge legal risks and investment risks. Imagine if the probed information is true, it may constitute illegality or even crime. If it is false information, it is even more worthless. It must have caught a trap of "harmfulness", and it is still being counted after being sold. .

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