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蔚深证券有限责任公司:经查,你公司1997年12月31日止存在挪用客户保证金的问题,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。1997年12月31日,你公司以个人名义申购新股,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。此外,1997年3
Wei Shen Securities Co., Ltd.: Upon investigation, your company’s misappropriation of client deposits existed on December 31, 1997, and constituted the issue of “Provisional Regulations on the Administration of Stock Issuance and Trading” (the “Stock Regulations”), (6) described in the behavior. On December 31, 1997, your company purchased new shares in your own name in violation of the provisions of Paragraph (2) of Article 14 of the Measures for the Management of Self-owned Business of Securities Institutions and Securities, which constituted Article 71 of the Stock Regulations The behavior described in item (5). In addition, in 1997 3