The ex-wife of a brokerage employee received a fine from the Beijing Securities Regulatory Bureau for trading Beijing Cuiwei Building Co., Ltd.

　　On January 9, the Beijing Securities Regulatory Bureau disclosed an administrative punishment decision. In response to Liu Mouyin's behavior of trading "Cuiwei shares" during the sensitive period of insider information, it decided to confiscate Liu Mouyin's illegal income of 118,660 yuan and impose a fine of 355,980 yuan. yuan fine.

　　It is worth noting that for Cuiwei's acquisition of Beijing Haike Rongtong Payment Service Co., Ltd. ("Haike Rongtong") project, the Beijing Securities Regulatory Bureau has issued three administrative penalty decisions, and all three are "no penalty". three".

　　Frequent contacts with insiders during the sensitive period of inside information

　　Liu Mouyin's fine was related to Cuiwei's acquisition of Haike Rongtong project in 2019.

　　The ticket shows that on October 8, 2019, Liu, the then general manager of Beijing Haidian District State-owned Assets Investment and Operation Co., Ltd. Liu, the general manager 2, Kuang Mouxing, the then chairman of Cuiwei shares, and Meng Mouxin, the then general manager of Haike Rongtong, held a meeting to preliminarily discuss the plan for Cuiwei shares to acquire Haike Rongtong.

　　Subsequently, from October 10, 2019 to November 7, 2019, relevant personnel from Haidian State Investment, Haidian Technology, Cuiwei, Haike Rongtong, etc. further discussed the project plan, arranged intermediary agency due diligence and registration matters; and held Preliminary plan report meeting; another meeting was held to report on the project plan, discuss the concerns and solutions of the plan, and arrange the overall timetable; and further negotiate the transaction plan, discuss important issues and solutions, and discuss the application for suspension, etc.

　　On November 8, 2019, relevant personnel from Haidian State Investment, Haidian Technology, Cuiwei, Haike Rongtong, etc. held an intermediary agency coordination meeting to discuss important issues.

On the same day, Cuiwei Co., Ltd. issued a major asset reorganization suspension announcement, stating that the company intends to purchase the equity held by Haike Rongtong’s existing shareholders by issuing shares and paying cash.

　　The Beijing Securities Regulatory Bureau pointed out that Cuiwei’s proposed acquisition of Haike Rongtong falls under the second item of Article 67 of the Securities Law in 2005, which is “the company’s major investment behavior and major property purchase decision”. Previously, it constituted the inside information mentioned in Item 1, Article 75, Paragraph 2 of the 2005 Securities Law.

The inside information was formed no later than October 8, 2019 and made public on November 8, 2019.

　　Among them, Liu Mouyin's ex-husband Liu Mou 3 participated in the meetings held on October 10 and November 1, 2019 as the project leader of China Securities Co., Ltd. (hereinafter referred to as "China Securities", 601066). The insider of the case shall know the inside information of the case no later than October 10, 2019.

　　However, during the sensitive period of inside information, from October 8 to 21 and October 23 to 30, 2019, Liu Mouyin and her ex-husband had frequent phone calls every day.

In addition, although the two have registered for divorce, they jointly raise their children, have frequent financial exchanges, and have a close relationship.

　　Insider trading profit of 118,660 yuan

　　After investigation, on October 17, 2019, Liu Mouyin withdrew 500,000 yuan in cash from his bank account.

On October 18, Liu Mouyin deposited the 500,000 yuan in cash into the three-party depository bank account of "Liu Mouyao (named Liu Mouyin's aunt)" securities account.

On October 22, Liu Mouyin operated the "Liu Mouyao" securities account to transfer 511,254 yuan in bank securities.

　　On October 22, 23, and 29, 2019, Liu Mouyin used the "Liu Mouyao" securities account to entrust the purchase of "Cuiwei shares". A total of 51,600 shares were traded with a transaction value of 339,700 yuan. All of them were sold on the day, with a profit of 118,660 yuan.

　　The Beijing Securities Regulatory Bureau pointed out that from October 16, 2018 to October 21, 2019, the securities account of "Liu Mouyao" had no securities transaction records.

On October 22, 2019, "Liu Mouyao" made a sudden transfer of a large amount of funds into the securities account, and started a single entrustment to buy "Cuiwei shares" on the same day, the purchase behavior and the formation process of inside information and the contact time with Liu 3 Highly consistent, it was the first time that the securities account traded "Cuiwei shares", and the trading behavior was obviously abnormal.

Liu Mouyin has no reasonable explanation or legitimate source of information for this.

　　The Beijing Securities Regulatory Bureau believes that the "Liu Mouyao" securities account has obvious abnormal characteristics such as reactivation after being idle for one year, sudden transfer of large amounts of funds, single entrustment purchase of "Cuiwei shares" during the case, and first transaction of "Cuiwei shares". The transaction behavior is highly consistent with the formation process of inside information and the contact time with inside information insiders.

Liu Mouyin violated the provisions of Article 73 and Paragraph 1 of Article 76 of the 2005 "Securities Law", constituting the insider trading behavior mentioned in Article 202 of the 2005 "Securities Law".

　　Therefore, according to the provisions of Article 202 of the 2005 "Securities Law", the Beijing Securities Regulatory Bureau decided to confiscate Liu Mouyin's illegal income of 118,660 yuan and imposed a fine of 355,980 yuan.

　　There have been three fines related to Cuiwei’s acquisition of Haike Rongtong project

　　It is worth noting that this is the third administrative penalty decision issued by the Beijing Securities Regulatory Bureau for Cuiwei’s acquisition of Haike Rongtong.

　　Previously, on December 14, 2022, the Beijing Securities Regulatory Bureau decided to confiscate Yang Gang and Chen Panpan's illegal income of 115,580 yuan and impose a fine of 346,740 yuan on Yang Gang and Chen Panpan's trading of "Cuiwei shares" during the sensitive period of insider information.

　　According to the fine, on October 10, 2019, Yang Gang, the director of Haidian Technology and the head of the operation and management department of Haidian State Investment, contacted Li Mouhui, the insider information sensitive period.

Later, from October 11 to 14, 2019, Chen Panpan (the spouse of Yang Gang) bought 46,000 shares of "Cuiwei shares" with the "Chen Panpan" securities account, and sold them on November 25, 2019, making a profit. 115,580 yuan.

　　On January 7, 2022, the Beijing Securities Regulatory Bureau confiscated Li Jinghai's illegal income of 4.73935 million yuan and imposed a fine of 14.21806 million yuan on Li Jinghai's use of his and his spouse's securities accounts to trade "Cuiwei shares" during the sensitive period of insider information.

　　According to the ticket, during the sensitive period of inside information, Li Jinghai had four phone calls with Lin, the insider.

On October 29, 2019, the "Li Jinghai" securities account bought 292,200 shares of "Cuiwei shares", and then sold all "Cuiwei shares" on January 21, 2020, making a profit of 272,800 yuan.

　　In addition, from October 18 to November 4, 2019, Li Jinghai actually controlled and operated the securities account of "Feng Mou (Li Jinghai's spouse)" to buy a total of 3,340,910 shares of "Cuiwei shares", and then on November 22, 2019 After the resumption of trading, the "Cuiwei shares" were successively sold, with a profit of 4.4665 million yuan.