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一投资者违规买卖方大炭素被上交所限制交易3个月
2017-08-16 09:51:28 中国经济网
上交所8月14日发布纪律处分,称投资者赖国昌名下证券账户在交易*ST八钢、新疆城建、庞大集团、石化油服、北方稀土等股票过程中,多次出现买入风险警示股票超限,以涨幅限制价格频繁、大量申报又频繁撤销申报等异常交易行为,严重扰乱了证券市场的正常交易秩序。为此,上交所对赖国昌名下证券账户已采取书面警示、盘中暂停账户当日交易等自律监管措施,并要求其提交合规承诺书。7月14日,赖国昌签署了证券交易合规承诺书。
7月28日,赖国昌名下证券账户在交易方大炭素股票的过程中,再次出现了以涨幅限制价格频繁、大量申报又频繁撤销申报的异常交易行为,违规性质较为恶劣,根据相关规定,上交所决定对其名下相关证券账户实施限制交易3个月的纪律处分。(上交)
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