investor protection

【the case of "investor protection, clear rules, know risks" -利来国际官网


at present, many financial channels will broadcast stock investment programs during prime time, inviting securities analysis experts and audiences to exchange stock investment skills and experience, and remind investors to avoid and prevent market risks. stock investment programs should be fertile ground for investor education, but individual lawbreakers in the securities consulting industry use the trust of investors to recommend and hype the stocks they hold in advance. cash out at a high level and leave the market, so that blindly follower investors are stuck at a high level.

zhu, from august 2010 to august 2014, worked as a broker in the business department of a securities company, holds a securities broker certificate, engaged in stock brokerage business, and has a certain knowledge of securities investment. from march 2013 to august 2014, zhu served as a guest of stock analysis in the stock investment column of a financial channel. facing many investors in front of the tv, zhu did not conduct positive investor education, but instead acted as a black mouth. .

zhu directly controlled the stock accounts of his father, mother, and grandmother, and bought a shares in advance on the same day. that night, in the stock investment column, zhu directly named the name of the a stock, described the characteristics of the stock in detail, gave a positive evaluation of the stock, and encouraged and implied investors to buy it. some small and medium investors were convinced of the analysis of tv program experts. as soon as the market opened in the morning of the second trading day, they followed zhu's suggestion and entered the market. zhu mou sold all the stocks for his own profit within a few trading days after the tv column publicly recommended stocks.

zhu manipulated many a-share stocks by this means, which seriously violated the legitimate rights and interests of small and medium investors and disrupted the normal order of the securities market. the above behavior violated article 77 of the securities law, which prohibits manipulating the securities market by other means. at the same time, zhu also violated article 43 of the securities law, which prohibits securities practitioners from buying and selling stocks. according to the provisions of articles 199 and 203 of the securities law, zhu was confiscated of his illegal gains and imposed a fine of more than 13.58 million yuan.

independent thinking and decision-making is the investment strategy for investors based on the securities market. investors, especially small and medium-sized investors, should maintain a calm mind, learn more, observe more, and think more during the investment process. experts’ opinions can be used for reference, but they should not blindly follow and invest without analysis. especially for those who recommend individual stocks, predict points, and estimate the daily limit through tv, weibo, blogs and other channels, we must keep our eyes open and remain vigilant, objectively analyze the investment advice of experts, and have our own subjective judgments to avoid falling into lawlessness. the trap.