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黄河证券有限责任公司:经查,你公司1997年末挪用客户保证金7,981.18万元,构成《股票发行与交易管理暂行条例》(以下简称《股票条例》)第七十一条第(六)项所述的行为。此外,1997年末,你公司国债部利用郑州巨龙投资咨询有限公司、郑州腾飞商贸有限公司、郑州股证托管中心、郑州市黄金饰品检测中心、郑州市金融信息有限公司等5个机构帐户开展股票自营,累计盈利113.42万元。上述行为,违反了《证券经营机构证券自营业务管理办法》第十四条第(二)项的规定,构成《股票条例》第七十一条第(五)项所述的行为。1997年末,你公司深圳、上
Huanghe Securities Co., Ltd .: Upon investigation, your company embezzled 7,981.18 million customers’ deposits at the end of 1997, forming the basis of Article 71 (6) of the Provisional Regulations for the Administration of Stock Issuance and Trading (the “Stock Regulations”) the behavior of. In addition, at the end of 1997, your company’s treasury department used five institutional accounts such as Zhengzhou Dragon Investment Consulting Co., Ltd., Zhengzhou Tengfei Trading Co., Ltd., Zhengzhou Stock Trust Center, Zhengzhou Gold Jewelry Testing Center and Zhengzhou Financial Information Co., Ltd. Self-employed, total profit 113.42 million. The aforesaid acts violate the provisions of Item (2) of Article 14 of the Measures for the Management of Self-employed Business of Securities Institutions and constitute acts as described in Item (5) of Article 71 of the Stock Regulations. In late 1997, your company, Shenzhen, on