Illegal securities activities are typical stakeholder-type illegal and criminal activities, which seriously interfere with the normal economic and financial order and undermine social harmony and stability. The following is my knowledge about the definition and manifestations of illegal securities activities. Welcome to reading.
Definition and manifestations of illegal securities activities Illegal securities activities are typical stakeholder-type illegal and criminal activities, which seriously interfere with the normal economic and financial order and undermine social harmony and stability. According to Article 2 of the Guidelines for Securities Institutions to Participate in Combating Illegal Securities Activities, illegal securities activities refer to the acts of publicly issuing securities, setting up securities exchange places or securities companies, or engaging in securities business such as securities brokerage, securities underwriting and securities investment consulting without the approval of the competent authorities.
After issuing shares to unspecified objects or specific objects, if the number of shareholders exceeds 200, it shall be reported to the China Securities Regulatory Commission for approval and public offering. It is illegal to issue stocks without approval.
If there are no more than 200 shareholders after issuing shares to a specific object, it is a non-public offering. Non-public offering of shares and their equity transfer shall not be made public or in disguised form by means of advertisement, announcement, broadcast, telephone, fax, letter, promotion meeting, explanation meeting, Internet, short message and public persuasion. Shareholders of the company transfer their shares to the public or specific objects in an open manner without the approval of the China Securities Regulatory Commission according to law. After the transfer, the total number of shareholders of the company exceeds 200, which is a disguised public offering of shares.
Securities underwriting, brokerage (trading agent), securities investment consulting and other securities businesses are operated by securities institutions approved by the China Securities Regulatory Commission according to law. Without the approval of China Securities Regulatory Commission, it is illegal for any other institution or individual to engage in securities business.
Illegal securities activities are mainly divided into illegal issuance of securities, illegal establishment of securities trading places or securities companies and illegal securities business.
1. Illegal issuance of securities
The main manifestations of illegal issuance of securities are: illegal issuance of shares, and criminals trick investors into buying and transferring so-called "original shares" under the banner of "listing at home and abroad".
Fraudulent means mainly include the following points:
1, listed at home and abroad with high return as bait.
2. For the general public, especially middle-aged and elderly people.
3. For the purpose of cheating money.
2. Illegal establishment of a securities exchange or securities company.
Three. Illegal securities business mainly includes illegal securities investment consulting and illegal brokerage business.
The forms of illegal securities investment consultation mainly include:
1, set up a website or use online chat tools to provide securities investment analysis, prediction or suggestions in the name of attracting members or customers, and illegally represent customers in securities investment and wealth management activities.
2. Establish a website or use online chat tools to ensure returns and high returns as bait, trade on behalf of others, openly solicit customers, sign entrustment agreements with investors, and engage in illegal securities activities.
3. Fake websites or blogs of legal securities institutions, publish information on illegal securities activities, and attract members or customers.
4. Using fictitious names of securities companies, publishing information on illegal securities activities through portal blogs, soliciting members or customers, providing securities investment analysis, prediction or advice services, and engaging in illegal securities investment consulting business in disguise.
5. Disseminate information on illegal securities activities on portals, website blogs, QQ and other platforms, provide securities investment analysis, prediction or suggestion services, and collect consulting fees and service fees.
6. Disseminate information on illegal securities activities in the form of "stock recommendation software", provide securities investment analysis, prediction or suggestion services, and collect consulting fees and service fees.
7. Engage in illegal securities investment consulting by setting up an "investor school" and holding investment reports.
Illegal brokerage business mainly refers to illegal securities activities carried out by institutions or individuals who do not have brokerage business qualifications by controlling accounts, opening sub-accounts, accepting trading orders, and completing transactions through agents.
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