近期,媒体报道了赵本华等投资者诉民族证券乐山柏扬营业部证券交易佣金纠纷案,法院二审判决民族证券柏扬营业部败诉,向原告履行返还佣金并赔偿损失等民事责任,引起了业界广泛关注,被称为全国首例证券交易佣金纠纷案。该案虽始发于2000年,但其反映出的问题在当前仍有一定普遍性,对证券公司合规运作及证券公司监管仍有较强的现实意义,本文不揣浅陋,对该案涉及的法律问题进行了初步分析,并提出几点对当前证券公司监管的启示,以供参考。 Recently, the media reported that Zhao Benhua and other investors v. Minority Securities Leshan Bo Yang Sales Securities and Exchange Commission dispute case, the Court of second instance verdict ethnic securities Bo Yang Sales Department lost to the plaintiff to return the commission and compensation for damages and other civil liability, causing widespread industry Concerned about, is known as the country’s first commission case of securities trading disputes. Although the case was started in 2000, the problems it reflects are still quite general. It still has strong practical significance to the compliance operation of securities companies and the supervision of securities companies. This article does not clumsyly discuss the case involved Legal issues conducted a preliminary analysis, and put forward some enlightenment on the supervision of the current securities companies for reference.