Disciplinary Procedures Against Employees of President Securities Corp. in Violation of Securities Firms Regulations
2020-02-11
1. Time of disciplinary action: February 11, 2020
2. Subject of disciplinary action: Staff of President Securities Corp., Nanjing Road Branch, xx Wang.
3. Basis of disciplinary disposition: Article 56 of the Securities and Exchange Act and Subparagraph 2 of Paragraph 2 in Article 18 of the Regulations Governing Responsible Persons and Associated Persons of Securities Firms.
4. Descriptions of violations: Staff of President Securities Corp., Nanjing Road Branch, xx Wang, disclosed the transaction records of the company''s clients to others, and the actions were determined to have violated regulations related to securities management.
5. Results of disciplinary actions: In accordance with Article 56 of the Securities and Exchange Act, President Securities Corp. shall suspend the staff member of its Nanjing Road Branch, xx Wang, for 3 months.
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Update：
2020-03-10