Article 40 of the Securities Law of the People's Republic of China: employees of securities trading venues, securities companies, and securities registration and settlement institutions, staff of securities supervision and management institutions, and other personnel who are prohibited from participating in stock transactions in laws and administrative regulations. Or during the period of statutory time limit, shall not directly or use the name of others, buy and sell stocks, or other equity securities in the name of pseudonym, borrowing, shares or other equity properties, or shares presented by others or other equity securities.
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According to the "Securities Law" regulations: the employees of the securities exchanges, the securities company, and the securities registration and settlement institution, the staff of the securities supervision and management institution, and the other personnel who prohibit participating in stock transactions in laws and administrative regulations shall not be allowed to participate in stock transactions. Direct or pseudonym, holding or buying stocks in the name of others, and buying and selling stocks, and shares presented by others, so securities brokers must not stock up stocks. In general, when investing in the securities industry, investors need to sell their securities accounts under their name. At the same time, the securities industry will verify its situation. Do not have the following behaviors during the career: 1. Apply, cancel, transfer, transfer, transfer, transfer, transfer, query, etc. of securities subscriptions, transactions or funds; Information, or induce customers to conduct unnecessary securities trading; 3. Share investment income with customers, and make commitments to the income of customer securities sale or the loss of compensation for the sale of securities; Persuade customers such as uniform means to solicit customers; 5. Provide intermediaries, guarantees or other conveniences for financing between customers; 6. Provide customers with illegal service places or trading facilities, or engage in customer recruitment and customers through Internet and news media. Services and other activities; 7. Other illegal and illegal activities.
Can't. According to the "Securities Law" regulations: employees of securities, securities and securities registration and settlement institutions, staff of securities supervision and management institutions, and other personnel who prohibit participating in shares in laws and administrative regulations shall not directly or or legal time during the term of office or statutory period. The pseudonym, holding or buying stocks in the name of others, shares, and stocks are not allowed to receive the stocks presented by others. Therefore, securities brokers cannot stock up stocks.
You can The securities agent will wait until the departure procedures will be completed and the vocational qualifications on the securities industry association will be opened before you can open a stock account.
The chairman of Dongfang Guoxin Management Lianping was suspected of stock manipulation, seriously violated the law, caused serious social consequences, and adopted the death penalty. Who dares to delete this information. The Central Committee will adopt military mobile steel research Nike testing technology Co., Ltd. Li Bo to manipulate stocks? Who dares to delete this information, the Central Committee will adopt military operations The chairman of Shenzhen Tongshi Lixing Co., Ltd., Tong Shishan to manipulate stocks, cause serious social consequences to society and the country, and adopt death penalty.
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