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中國銀河證券原從業(yè)人員違規(guī)炒股 虧超76萬被罰8萬

中國銀河證券原從業(yè)人員違規(guī)炒股 虧超76萬被罰8萬

10月23日，中國證監(jiān)會江蘇監(jiān)管局披露關于原銀河證券工作人員韓某明的行政處罰決定書。

經(jīng)查，韓某明在南京江東中路營業(yè)部任職期間，先后擔任證券經(jīng)紀人及理財經(jīng)理，具有證券從業(yè)人員的身份。在此期間，韓某明多次利用其家人在營業(yè)部開設的賬戶進行股票交易，累計虧損超76萬元。上述行為違反了《證券法》相關規(guī)定，構(gòu)成了《證券法》第一百八十七條所述證券從業(yè)人員買賣股票違法行為。

依據(jù)相關規(guī)定，江蘇監(jiān)管局決定對韓某明處以8萬元罰款。

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