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Why are people in securities companies not allowed to trade stocks?
According to the provisions of Article 43 of the Securities Law of People's Republic of China (PRC), employees of stock exchanges, securities companies, securities registration and settlement institutions, staff of securities supervision and administration institutions and other personnel who are prohibited from participating in stock trading by laws and administrative regulations shall not hold or buy or sell stocks directly or in the name of another person, or accept stocks donated by others during their term of office or within the statutory time limit. When becoming a person listed in the preceding paragraph, the shares already held by him must be transferred according to law.
Extended data:
Article 79 of the Securities Law of People's Republic of China (PRC) prohibits securities companies and their employees from engaging in the following fraudulent acts that harm the interests of customers:
(1) To accept the entrustment of clients and buy and sell securities for them.
(2) Failing to provide the customer with a written confirmation document of the transaction within the specified time;
(3) misappropriating securities entrusted by clients or funds in clients' accounts.
(4) buying and selling securities for clients without authorization, or buying and selling securities under the guise of clients;
(5) Inducing customers to buy and sell securities unnecessarily in order to earn commission income;
(6) Providing or disseminating false or misleading information to investors through the media or other means;
(seven) other acts that violate the true meaning of customers and harm the interests of customers.
If the act of defrauding customers causes losses to customers, the actor shall be liable for compensation according to law.
Article 84 Stock exchanges, securities companies, securities registration and settlement institutions, securities service institutions and their employees shall promptly report to the securities regulatory body the prohibited trading behaviors found in securities trading.
Baidu Encyclopedia-People's Republic of China (PRC) Securities Law
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