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Analysis of Tianhong Insurance Q & A

Material 1: Mr. Zhu, a broker of the business department of a securities company, is engaged in stock brokerage business, and is a guest of stock analysis in the stock investment column of a financial channel. A 股票名称,详细描述股票特征,对股票进行正面评价,鼓励、暗示投资者买进。 During this period, Zhu directly named the name of A stock, described the characteristics of the stock in detail, positively evaluated the stock, and encouraged and suggested investors to buy. Afterwards, some small and medium investors were convinced of their analysis and followed suit to buy. And Zhu Mou sold the stock for his own profit within a few trading days after the public recommendation.

1 Question 1 :

Is it possible for Zhu to illegally manipulate multiple stocks for his own benefit? B ( B )

A is

B no

2 Question 2 :

A The following statements are incorrect (single choice): ( A )

A Zhu helps everyone analyze stocks and recommend stocks, fulfilling the obligations of a stock broker.

B Zhu violated the provisions of the Securities Law prohibiting securities professionals from trading in stocks.

C Zhu violated the provisions of the Securities Law prohibiting manipulation of the securities market by other means.

A 股多只股票,严重侵害了中小投资者的合法权益。 D. Zhu used this method to manipulate multiple A shares, which seriously infringed on the legitimate rights and interests of small and medium investors.



X 投资有限公司法定代表人,为刺探 S 公司内幕信息而聘任某上市公司退休董秘陈某。 Material 2: Qi is the legal representative of X Investment Co., Ltd., and hired a listed company's retired secretary Chen to probe the inside information of S company. S 公司并购一事的内幕消息,并在每次得知消息后大量增持 S 公司股票,希望利用刺探来的小道消息大发横财。 Qi Mou repeatedly entrusted Chen to inquire into the inside information of the S company's merger and acquisition, and each time he learned the news, he increased his holdings in S company's stock a lot . 699.57 万元,并被证监会处以 40 万元罚款。 However, contrary to his wishes , Qi Mou not only failed to make money, but instead lost 6.9957 million yuan and was fined 400,000 yuan by the Securities Regulatory Commission .

3 Question 3 :

Is it possible for Qi to probe inside information for his own profit? B ( B )

A is

B no

4 Question 4 :

B The following statements are incorrect (single choice): ( B )

A Qi spied inside information for his own profit and seriously violated the relevant provisions of the Securities Law.

B Qimou did not make a fortune because he was unlucky, but relying on inside information for profit making is highly desirable.

C. Unlawful access to inside information by means of fraud, arbitrage, eavesdropping, seducing, spying, or private transactions is an act that is not allowed by law.

D Before the disclosure of inside information, the disclosure of this information also violated the red line of insider trading.

X 集团(国有企业)财务总监,全程参与了 X 集团控股的 A 上市公司重大资产重组过程。 Material 3: Wang Moumou, then was the chief financial officer of X Group (state-owned enterprise), and participated in the major asset reorganization process of Listed Company A controlled by X Group . A 公司资产重组这一重大利好透露给了发小赵某某。 After learning the inside information, Wang Moumou disclosed the major benefit of Company A 's asset reorganization to Fa Xiaozhao Moumou. 22.53 万元买了 2.72 万股 A 公司股票,坐等股价上升。 After receiving the news, Zhao Moumou used his account to invest 225,300 yuan to buy 27,200 shares of company A , waiting for the stock price to rise. But contrary to expectations, the news of asset restructuring failed. 3.94 万元。 Stealing the chicken did not make the rice, Zhao Moumou not only did not make money, but instead lost 39,400 yuan. 4 万元的罚款。 What's even more unexpected is that the CSRC learned the insider trading situation through investigation afterwards and imposed a fine of 40,000 yuan on them .

5 Question 5 :

B The following statements are incorrect (single choice): ( B )

A Wang Moumou has the duty of confidentiality as an insider of inside information, and the leakage of unpublished information in private violates the relevant provisions of the Securities Law.

B Wang Moumou leaked the inside information to the young Zhao Moumou who was very enlightened and worthy of reference.

赵某某非法获取内幕信息并从事内幕交易,理应承担相关法律责任。 C Zhao Moumou illegally obtained inside information and engaged in insider trading, he should bear relevant legal responsibilities.

小道消息 Investor D, as a person who engages in securities trading, should not listen to "small news " casually .


规模行业第一
规模行业第一
规模行业第一