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杭州银行副行长江波违规交易公司股票 被出具警示函

2017-10-11 16:46:53   

中国经济网北京10月11日讯 10月9日,浙江证监局网站公告称,杭州银行股份有限公司(简称杭州银行)副行长江波及公司监事陈显明违规买卖杭州银行股票,给予其出具警示函的措施,并记入证券期货市场诚信档案。

公告称,江波、陈显明分别于2016年11月14日至2017年3月8日、2017年2月13日至2017年3月8日期间对杭州银行股票进行了买卖,其中,江波交易8笔,累计买入28,000股,累计卖出8,000股;陈显明交易15笔,累计买入12,800股,累计卖出12,800股。江波为公司高级管理人员、陈显明为公司监事,你们在买入公司股票后六个月内卖出,违反了《证券法》第四十七条的规定。鉴于你们及时采取措施自查自纠,未造成严重影响,我局决定对你们采取出具警示函的监督管理措施,并记入证券期货市场诚信档案。你们应认真吸取教训,加强证券法律法规学习,严格规范买卖上市公司股票行为,杜绝此类行为再次发生。

如果对本监督管理措施不服,可以在收到本决定书之日起60日内向中国证券监督管理委员会提出行政复议申请,也可以在收到本决定书之日起6个月内向有管辖权的人民法院提起诉讼。复议与诉讼期间,上述监督管理措施不停止执行。

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