Monday, December 20, 2010

Commission reiterated that staff shall not conduct a serious investigation of insider trading stocks!.

<P>: Http:// hearing, the reporter learned from the security company yesterday, China Securities Regulatory Commission recently issued a "reminder to further strengthen supervision and staff education, consciously abide by the notice provisions prohibit the sale of stock", including the supervision of securities practitioners reiterated .agency staff, not the stock exchange requirements, and resolutely prevent and investigate insider stock trading behavior of information. .</ P> <P> under the existing Article 43 of the Securities Act, "stock exchange, securities companies and securities registration and settlement institution employees, the securities regulatory agency staff, as well as laws and administrative regulations prohibit trading in stocks .other personnel, or the statutory period in office, shall not directly or by a pseudonym, the name of another trade in stocks, and receive other shares as gifts. "</ P> <P> addition to securities law, the" Central Office .Office of the State Council on the issuance of "on the party and government organs of certain provisions of the Private Securities Investment" notice "and" China Securities Regulatory Commission Staff Rules "and other laws and regulations are also clear that regulatory agency staff and their parents, .spouses, children and their spouses may not be sold stocks. .</ P> <P> However, the recent period, along with the continued improvement in China's securities market and the wealth effect of the show, a very small number of staff breaches the phenomenon of the illegal buying and selling stocks on the rise. .</ P> <P> for this phenomenon, called for the strengthening of education to remind the Commission notice, strict compliance with staff members and their parents, spouses, children and their spouses can not deal in stock regulations; should strengthen the education of new staff, requiring .The strict compliance with the provisions of stock trading ban and prohibit the sale of shares to the relevant provisions of training for new staff as important. .At the same time, strengthen the management of clerical staff, secretarial staff stock trading ban. .</ P> <P> notification to the Commission stressed the need to further strengthen the management of sensitive information related to market, improve the secret information management system to improve staff security awareness. .Staff not to family, friends, classmates and other market-sensitive information leaks, nor to family and friends, students and other staff recommended the stock, and resolutely prevent and investigate insider stock trading behavior of information. .</ P> <P> strict control of staff in order to establish a long-term stock trading mechanisms, notification to the Commission, all departments and units to the latest issue of education and inspection work included in "monthly lesson" and "a quarterly check ."activities, education practitioners to regular reminders, earnestly carry out supervision and inspection work. .</ P>.

No comments:

Post a Comment