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吉林省证券有限责任公司:经查,1997年至1998年4月,你公司总部及下属3个营业部存在以个人股票帐户申购新股的问题,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(五)项所述的行为。1997年至1998年4月期间,你公司总部及下属5个营业部存在挪用客户保证金的问
Jilin Province Securities Co., Ltd.: After investigation, from 1997 to April 1998, there existed the problem of subscription of new shares with individual stock accounts at your company headquarters and its 3 sales offices, in violation of the Measures for the Management of Self-operated Business of Securities Institution Securities The provisions of Article 14 (2) constitute acts as described in Article 71 (5) of the Provisional Regulations for the Administration of Stock Issuance and Trading (hereinafter referred to as the Stock Regulations). From 1997 to April 1998, your company headquarters and its five sales offices have misappropriation of customer deposits