beijing regulatory bureau: issued a warning letter to kou yue and 20 others
2024-09-14
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decision on issuing warning letters to kou yue and 20 other people as administrative supervision measures
kou yue, liu haoran, deng honglin, deng qiang, li wan, yang yanrong, wang tongzhou, qu jiaqian, chen kezhou, wang yizhou, xu sirui, gao tianju, wei shiyu, tian tao, ji xianming, yang xiaoli, fu mengjie, feng huarong, zhang shiwen, jiang haojun:
upon investigation, it was found that as securities practitioners, you had engaged in the buying and selling of stocks.
the above-mentioned acts violate the provisions of article 6, paragraph 3 of the "trial provisions on compliance management of securities companies" (csrc announcement no. 30 [2008]) or article 10, paragraph 2 of the "compliance management measures for securities companies and securities investment fund management companies" (csrc order no. 133) or article 10, paragraph 1 of the "compliance management measures for securities companies and securities investment fund management companies" (csrc order no. 166).
in accordance with the provisions of article 26, paragraph 1, of the "trial provisions on compliance management of securities companies", article 32, paragraph 1, of the "compliance management measures for securities companies and securities investment fund management companies" (csrc order no. 166), and article 33 of the "compliance management measures for securities companies and securities investment fund management companies" (csrc order no. 133), our bureau has decided to take administrative supervision measures against you by issuing a warning letter.
if you are dissatisfied with this supervisory and management measure, you may file an application for administrative reconsideration with the china securities regulatory commission within 60 days from the date of receipt of this decision, or you may file a lawsuit with the people's court with jurisdiction within 6 months from the date of receipt of this decision. during the reconsideration and litigation, the above supervisory and management measures will not be suspended.
china securities regulatory commission beijing regulatory bureau
september 12, 2024
