中财网老子猜生肖:关于湖南证券股份有限公司违反证券法规行为的处罚决定
来源：百度文库 编辑：中财网 时间：2024/05/05 15:38:24
关于湖南证券股份有限公司违反证券法规行为的处罚决定
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证监罚字[2001]28号
湖南证券股份有限公司：
最近，中国证券监督管理委员会（以下简称中国证监会）对原湖南证券股份有限公司（以下简称“湖南证券”）违反证券法规的行为进行了调查。
一、违规事实
中国证监会在对“湘证基金” 上市首日价格异常波动情况进行调查中发现，湖南证券利用彭志安（158925475）等17个个人帐户于1996年11月至12月湘证基金增募时买入湘证基金15875199份基金单位，并于湘证基金上市首日卖出，共获利174.5万元。其行为违反了《证券法》第一百三十四条的规定，构成了《证券法》第一百九十一条所述“假借他人名义或者以个人名义从事自营业务”的行为。
二、处罚决定
根据《证券法》第一百九十一条的规定，决定没收湖南证券非法所得174.5万元，并处以174.5万元的罚款。鉴于湖南证券的资产已由泰阳证券有限责任公司（以下简称“泰阳证券”）接收，该款项由泰阳证券缴纳。
泰阳证券应自收到本处罚之日起15日内，将罚、没款汇交中国证券监督管理委员会（开户银行：中国建设银行北京城建支行月坛南街分理处，帐号2610044690，由该银行直接上缴国库），并将付款的复印件送中国证监会稽查局执行监督处备查。
如对本处罚决定不服，泰阳证券可在收到本处罚决定之日起60日内，向中国证券监督管理委会提出行政复议；也可在收到本处罚决定之日起三个月内直接向有管辖权的人民法院提出行政诉讼。复议和诉讼期间，上述决定不停止执行。
二○○一年十一月十六日