酷兔英语

章节正文

第一百八十一条 证券交易所、证券公司、证券登记结算机构、证券交易服务机构的从业人员、证券业协会或者证券监督管理机构的工作人员,故意提供虚假资料,伪造、变造或者销毁交易记录,诱骗投资者买卖证券的,取消从业资格,并处以三万元以上五万元以下的罚款;属于国家工作人员的,还应当依法给予行政处分。构成犯罪的,依法追究刑事责任。


Article 181. Workers of securities trading centers, securities companies, securities registration and settling organs, and securities trading service organs, and workers of associations of the securities trade and securities regulatory bodies, who intentionally provide false materials, or who falsify, alter, or destroy securities transaction records, in an attempt to trick investors into buying or selling securities, are to be deprived of their work eligibility and fined for an amount between 30,000 yuan and 50,000 yuan. If they are state workers, they shall also be given an administrativepenalty. Those involved in crimes are to be investigated for their criminal liability according to law.


第一百八十二条 为股票的发行或者上市出具审计报告、资产评估报告或者法律意见书等文件的专业机构和人员,违反本法第三十九条的规定买卖股票的,责令依法处理非法获得的股票,没收违法所得,并处以所买卖的股票等值以下的罚款。


Article 182. Specialized organs providing auditing reports, assets assessment reports, legal opinion documents, or other documents, for the issuing or marketing of stocks, and their workers, who buy or sell stocks in violation of Article 39 of this law, are to be ordered to dispose according to the law of their illegally obtained stocks. Their illegalearnings are to be confiscated and they are to be fined for an amount not more than the value of the stocks in question.


第一百八十三条 证券交易内幕信息的知情人员或者非法获取证券交易内幕信息的人员,在涉及证券的发行、交易或者其他对证券的价格有重大影响的信息尚未公开前,买入或者卖出该证券,或者泄露该信息或者建议他人买卖该证券的,责令依法处理非法获得的证券,没收违法所得,并处以违法所得一倍以上五倍以下或者非法买卖的证券等值以下的罚款。


Article 183. Those having access to or having illegally obtained inside information about securities transaction who, before information concerning securities issuance or transaction or other information that would have an important effect on the prices of securities is announced, buy or sell the securities in question, discloserelevant information, or suggest that other people buy or sell the securities in question, are to be ordered to dispose according to the law of their illegally obtained securities. Their illegalearnings are to be confiscated, and they are to be fined for an amount between one and five times their illegalearnings or an amount not more than the value of the said securities of the illegal transaction.


构成犯罪的,依法追究刑事责任。证券监督管理机构工作人员进行内幕交易的,从重处罚。


Those involved in crimes are to be investigated for their criminal liability according to the law. Workers of securities regulatory bodies who engage in inside trading are to be given heavy punishment.


第一百八十四条 任何人违反本法第七十一条规定,操纵证券交易价格,或者制造证券交易的虚假价格或者证券交易量,获取不正当利益或者转嫁风险的,没收违法所得,并处以违法所得一倍以上五倍以下的罚款。构成犯罪的,依法追究刑事责任。


Article 184. Illegal earnings of those who, in violation of Article 71 of this law, manipulate securities transaction prices, or fabricate false securities transaction prices or volumes, in an attempt to gain illegitimate interests or shift risks to other people, are to be confiscated; they are to be fined for an amount between one and five times of their illegalearnings. Those involved in crimes are to be investigated for their criminal liability according to the law.


第一百八十五条 违反本法规定,挪用公款买卖证券的,没收违法所得,并处以违法所得一倍以上五倍以下的罚款;属于国家工作人员的,还应当依法给予行政处分。构成犯罪的,依法追究刑事责任。


Article 185. Illegal earnings of those, in violation of relevant stipulations of this law, using public fund to engage in securities trading are to be confiscated, and they are to be fined for an amount between one and five times their illegalearnings. If they are state workers, they shall also be given an administrativepenalty according to law. Those involved in crimes are to be investigated for their criminal liability according to law.


第一百八十六条 证券公司违反本法规定,为客户卖出其帐户上未实有的证券或者为客户融资买入证券的,没收违法所得,并处以非法买卖证券等值的罚款。对直接负责的主管人员和其他直接责任人员给予警告,并处以三万元以上三十万元以下的罚款。构成犯罪的,依法追究刑事责任。


Article 186. Illegal earnings of securities companies which, in violation of relevant stipulations of this law, sell for their customers securities that are not actually in their customers' accounts, or which finance their customers in buying securities, are to be confiscated, and the companies in question are to be fined for an amount equal to the value of the securities traded. Persons in charge who are directly responsible for the case and other persons with direct responsibility are to be warned and fined for an amount between 30,000 yuan and 300,000 yuan. Those involved in crimes are to be investigated for their criminal liability according to law.


第一百八十七条 证券公司违反本法规定,当日接受客户委托或者自营买入证券又于当日将该证券再行卖出的,没收违法所得,并处以非法买卖证券成交金额百分之五以上百分之二十以下的罚款。


Article 187. Illegal earnings of securities companies which, in violation of relevant stipulations of this law, buy securities on behalf of their customers or on their own behalf and sell them on the same day are to be confiscated, and the companies in question are to be fined for an amount between five percent and twenty percent of the amount of the illegal securities transaction.


第一百八十八条 编造并且传播影响证券交易的虚假信息,扰乱证券交易市场的,处以三万元以上二十万元以下的罚款。构成犯罪的,依法追究刑事责任。


Article 188. Those who fabricate and disseminate false information that affect securities trading, which disturb securities trading markets, are to be fined for an amount between 30,000 yuan and 200,000 yuan. Those involved in crimes are to be investigated for their criminal liability according to law.


第一百八十九条 证券交易所、证券公司、证券登记结算机构、证券交易服务机构、社会中介机构及其从业人员,或者证券业协会、证券监督管理机构及其工作人员,在证券交易活动中作出虚假陈述或者信息误导的,责令改正,处以三万元以上二十万元以下的罚款;属于国家工作人员的,还应当依法给予行政处分。构成犯罪的,依法追究刑事责任。


Article 189. Securities exchanges, securities companies, securities registration and settling organs, securities trading service organs, and social intermediary organs, and their workers, and associations of the securities trade and securities supervision and management organs and their workers, who make false statements or provide misleading information in securities trading activities, are to be ordered to make corrections and to be fined for an amount between 30,000 yuan and 200,000 yuan. If they are state workers, they shall also be given an administrativepenalty according to the law. Those involved in crimes are to be investigated for their criminal liability according to the law.


第一百九十条 违反本法规定,法人以个人名义设立帐户买卖证券的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款;其直接负责的主管人员和其他直接责任人员属于国家工作人员的,依法给予行政处分。


Article 190. Legal persons who, in violation of relevant stipulations of this law, establish accounts in the name of individuals for securities trading, are to be ordered to make corrections. Their illegalearnings are to be confiscated and they are to be fined for an amount between one and five times of their illegalearnings. Their persons in charge directly responsible for the case and other persons with direct responsibility who are state workers are to be given administrativepenalty according to law.


第一百九十一条 综合类证券公司违反本法规定,假借他人名义或者以个人名义从事自营业务的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款;情节严重的,停止其自营业务。


Article 191. General securities companies which, in violation of relevant stipulations of this law, engage in their own business in the name of other people or in the name of individuals are to be ordered to make corrections. Their illegalearnings are to be confiscated and they are to be fined for an amount between one and five times of their illegalearnings. Operations of those of which cases are serious are to be terminated.


第一百九十二条 证券公司违背客户的委托买卖证券、办理交易事项,以及其他违背客户真实意思表示,办理交易以外的其他事项,给客户造成损失的,依法承担赔偿责任,并处以一万元以上十万元以下的罚款。


Article 192. Securities companies which, in violation of their customers' commissions, trade securities or conduct other trading activities, or, in violation of their customers' real intentions, conduct activities other than securities trading, which result in their customers' losses, are to assume according to law responsibility to pay for the losses and are to be fined for an amount between 10,000 yuan and 100,000 yuan.


第一百九十三条 证券公司、证券登记结算机构及其从业人员,未经客户的委托,买卖、挪用、出借客户帐户上的证券或者将客户的证券用于质押的,或者挪用客户帐户上的资金的,责令改正,没收违法所得,处以违法所得一倍以上五倍以下的罚款,并责令关闭或者吊销责任人员的从业资格证书。构成犯罪的,依法追究刑事责任。


Article 193. Securities companies, securities registration and settling organs, and their workers who, without their customers' commissions, trade, misappropriate, or lend securities in their customers' accounts, who use their customers' securities as pledges, or who misappropriate funds in their customers' accounts, are to be ordered to make corrections. Their illegalearnings are to be confiscated and they are to be fined for an amount between one and five times their illegalearnings. In addition, the companies in question are to be closed down or the professional credentials of their persons in charge are to be revoked. Those involved in crimes are to be investigated for their criminal liability according to law.


第一百九十四条 证券公司经办经纪业务,接受客户的全权委托买卖证券的,或者对客户买卖证券的收益或者赔偿证券买卖的损失作出承诺的,责令改正,处以五万元以上二十万元以下的罚款。


Article 194. In conducting brokerage business, securities companies which trade securities with their customers' full commissions, or which make commitment to their customers' earnings from securities trading or to paying for the losses resulting from securities trading, are to be ordered to make corrections and to be fined for an amount between 50,000 yuan and 200,000 yuan.


第一百九十五条 违反上市公司收购的法定程序,利用上市公司收购谋取不正当收益的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款。


Article 195. Those who violate the legal procedures on listed companies' purchases or seek illegitimate gains making use of listed companies' purchases are to be ordered to make corrections. Their illegalearnings are to be confiscated and they are to be fined for an amount between one and five times of their illegalearnings.


第一百九十六条 证券公司及其从业人员违反本法规定,私下接受客户委托买卖证券的,没收违法所得,并处以违法所得一倍以上五倍以下的罚款。


Article 196. Illegal earnings made by securities companies or their workers, in violation of relevant stipulations of this law, through trading securities over their customers' private commissions are to be confiscated, and they are to be fined for an amount between one and five times their illegalearnings.


第一百九十七条 证券公司违反本法规定,未经批准经营非上市挂牌证券的交易的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款。


Article 197. Securities companies which, in violation of relevant stipulations of this law and without approval, conduct trading of non?listed securities are to be ordered to make corrections. Their illegalearnings are to be confiscated and they are to be fined for an amount between one and five times their illegalearnings.


第一百九十八条 证券公司成立后,无正当理由超过三个月未开始营业的,或者开业后自行停业连续三个月以上的,由公司登记机关吊销其公司营业执照。


Article 198. Business licenses of securities companies which do not begin to operate more than three months after they are established, if no valid reasons are given, and of those which suspend operations on their own for three consecutive months or longer, are to be revoked by a company registration organ.


第一百九十九条 证券公司违反本法规定,超出业务许可范围经营证券业务的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款。情节严重的,责令关闭。


Article 199. When a securities company violates the regulations of this law and does securities?related businesses that exceed its authorized scope, it shall be instructed to mend its way, its illegitimate incomes shall be confiscated, and it shall be fined for a sum that is between one to five times that of its illegitimate income. If the case is serious, it shall be ordered to close.


第二百条 证券公司同时经营证券经纪业务和证券自营业务,不依法分开办理,混合操作的,责令改正,没收违法所得,并处以违法所得一倍以上五倍以下的罚款;情节严重的,由证券监督管理机构撤销原核定的证券业务。


Article 200. When a securities company also operates as a securities broker and sells securities by itself all at the same time instead of handling these businesses separately as required by the law, it shall be instructed to mend its ways, its illegitimate income shall be confiscated, and it shall be fined for a sum that is between one and five times that of its illegitimate income. If the case is serious, a security regulatory body shall retract the licensing of its business.


关键字:法律英语
生词表:
  • registration [,redʒi´streiʃən] 移动到这儿单词发声 n.登记(证);挂号 六级词汇
  • administrative [əd´ministrətiv] 移动到这儿单词发声 a.管理的,行政的 四级词汇
  • liability [,laiə´biliti] 移动到这儿单词发声 n.责任 负债 四级词汇
  • violation [,vaiə´leiʃən] 移动到这儿单词发声 n.破坏;冒犯;侵害 四级词汇
  • illegal [i´li:gəl] 移动到这儿单词发声 a.不合法的,非法的 六级词汇
  • earnings [´ə:niŋz] 移动到这儿单词发声 n.收益;报酬;获得 六级词汇
  • violate [´vaiəleit] 移动到这儿单词发声 vt.违背;冒犯;侵害 四级词汇
  • consecutive [kən´sekjutiv] 移动到这儿单词发声 a.连续的;连贯的 六级词汇
  • broker [´brəukə] 移动到这儿单词发声 n.经纪人,掮客 四级词汇
  • separately [´sepəritli] 移动到这儿单词发声 ad.分离地;孤独地 四级词汇



章节正文