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Announcement of the China Securities Regulatory Commission | | 中国证券监督管理委员会公告 |
(No. 11 [2019]) | | (〔2019〕11号) |
According to the Implementation Measures for the Pilot Program of Administrative Reconciliation (Order No. 114, China Securities Regulatory Commission), the China Securities Regulatory Commission (“CSRC”) reached an administrative reconciliation agreement on April 23, 2019 with nine administrative reconciliation applicants (hereinafter referred to as “applicants”) including Goldman Sachs (Asia) L.L.C. (hereinafter referred to as “Goldman Sachs Asia”) and Beijing Gao Hua Securities Company Limited (hereinafter referred to as “Gao Hua Securities”) as well as relevant employees of Goldman Sachs Asia and Gao Hua Securities over the handling of the following matters: | | 根据《行政和解试点实施办法》(证监会令第114号),中国证券监督管理委员会(以下简称中国证监会)与高盛(亚洲)有限责任公司(以下简称高盛亚洲)、北京高华证券有限责任公司(以下简称高华证券)以及高盛亚洲和高华证券的相关工作人员等9名行政和解申请人(以下简称申请人)于2019年4月23日就下列事项的处理达成行政和解协议: |
Between October 8, 2013 and July 3, 2015, proprietary traders with Goldman Sachs Asia conducted transactions through the Goldman brokerage account opened with Gao Hua Securities, and at the same time provided business guidance to their counterparts at Gao Hua Securities. During some trading hours of the four trading days between May and July 2015, both parties engaged in trading of other related stocks and stock index futures contracts. In July 2016, the CSRC initiated an official investigation into the aforementioned acts of the applicants. ...... | | 2013年10月8日至2015年7月3日期间,高盛亚洲自营交易员通过在高华证券开立的高盛经纪业务账户进行交易,同时向高华证券自营交易员提供业务指导。双方于2015年5月至7月期间的4个交易日的部分交易时段,从事了其他相关股票及股指期货合约交易。中国证监会于2016年7月对申请人的上述行为进行立案调查。 ...... |
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