5月30日,安徽证监局和吉林证监局同日披露涉及“老鼠仓”案的行政处罚,值得注意的是,遭罚的两从业人员涉案时均为券商资深信息技术(IT)人员。安徽证监局罚单显示,因利用未公开信息交易行为,时任中信证券信息技术中心高级经理李海鹏被“没一罚一”,没收违法所得213.14万元,并处以213.14万元罚款。吉林证监局罚单显示,因利用未公开信息交易、作为证券从业人员违规买卖股票等违法行为,时任华泰证券分管投研...
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