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儋州市

  4月24日,湖南证监局披露了一则《关于对陈佳友采取出具警示函监管措施的决定》的公告。

  公告显示,涉事当事人为证券从业人员,经查,陈佳友在2025年2月25日以前存在使用他人名义开立证券账户并持有、买卖股票的行为,违反了《中华人民共和国证券法》及《证券公司和证券投资基金管理公司合规管理办法》的相关规定。对此,湖南证监局决定对其采取出具警示函的监管措施,并记入证券期货市场诚信档案。

  值得注意的是,罚单中并未披露陈佳友具体的从业机构信息。通过中证协官网查询发现,平台上确有“陈佳友”的执业注册记录,执业以来仅与国元证券存在关联。

  虽然现有信息还无法认定此次受罚的“陈佳友”与上述注册信息指向者为同一人,但监管的罚单无疑再次为券商员工敲响警钟。

  公开信息显示,本月以来,已有多起证券从业人员违规炒股、代他人炒股被罚案例。4月2日,安徽证监局一口气披露了4张罚单,均剑指券商员工违规从业行为。从涉及的券商来看,包括华安证券和国元证券。

  经查,王洋在国元证券洛阳滨河南路营业部任职期间,未严格规范自身执业行为,存在操作他人证券账户的行为,被安徽证监局采取出具警示函措施的决定。

  唐梦飞则是在华安证券宿州分公司任职期间,未严格规范自身执业行为,存在借用他人证券账户买卖股票的行为。安徽证监局决定对其采取出具警示函的行政监管措施。

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