Article 79 Where a securities company provides its clients' capital accounts and securities accounts to others for use, it shall be punished in accordance with the provisions of Article 208th of the Securities Law. Article 80 Where a securities company engages in securities asset management business, induces clients to conduct unnecessary securities transactions, or uses clients' assets to conduct unnecessary securities transactions, it shall be punished in accordance with the provisions of Article 210 of the Securities Law. Article 81 A securities company shall be punished in accordance with the provisions of Article 219 of the Securities Law under any of the following circumstances: (1) A securities company or its domestic branches conduct business beyond the scope approved by the the State Council securities regulatory authority; (two) without approval, the assets of multiple customers are used for collective investment, or the assets of customers are specially invested in specific target products. Article 82 Where a securities company conducts transactions between a securities proprietary account and a securities asset management account or between different securities asset management accounts without sufficient evidence to prove that effective segregation has been achieved according to law, it shall be punished in accordance with the provisions of Article 220 of the Securities Law. Article 83 If a securities company violates the provisions of these Regulations and has any of the following circumstances, it shall be ordered to make corrections, given a warning, its illegal income shall be confiscated, and it shall be fined at least 1 times but not more than 5 times. If there is no illegal income or the illegal income is less than 654.38+10,000 yuan, a fine of 654.38+10,000 yuan but not more than 300,000 yuan shall be imposed; If the circumstances are serious, the relevant securities business license shall be suspended or revoked. Give a warning to the directly responsible person in charge and other directly responsible personnel, and impose a fine of more than 30,000 yuan and less than 6,543.8+10,000 yuan; If the circumstances are serious, the post-holding qualification or securities practice qualification shall be revoked: (1) entrusting other units or individuals to engage in customer solicitation, customer service or product sales activities in violation of regulations; (two) to provide investment advice to customers, to make a definitive judgment on the rise and fall of securities prices or market trends; (3) Entrusting others to buy and sell securities on their behalf in violation of regulations. (4) Engaging in securities proprietary business, securities asset management business, investment scope or investment proportion in violation of regulations; (five) engaged in securities asset management business, accepting a single commission from customers, and the asset value is lower than the prescribed minimum. Article 84 If a securities company violates the provisions of these Regulations and is under any of the following circumstances, it shall be ordered to make corrections, given a warning, its illegal income shall be confiscated, and it shall be fined from/kloc-0 to 5 times its illegal income; If there is no illegal income or the illegal income is less than 30,000 yuan, a fine of 30,000 yuan to 300,000 yuan shall be imposed. The directly responsible person in charge and other directly responsible personnel shall be given a warning or fined from 30,000 yuan to 65,438+10,000 yuan; If the circumstances are serious, the post-holding qualification or securities practice qualification shall be revoked: (1) failing to audit the legal representative or senior management personnel and submit the audit report in accordance with the provisions; (2) Joint venture or cooperative operation of branches with others, or contracting, leasing or entrusting others to operate branches; (3) Failing to report the securities proprietary account or the securities account of the securities asset management customer to the stock exchange for filing.