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首页 > 法律咨询 > 办理经纪业务的证券公司，接受客户的全权委托买卖证券的，会被怎
金融证券 北京 克孜勒苏柯尔克孜自治州

办理经纪业务的证券公司，接受客户的全权委托买卖证券的，会被怎样处罚呢？

1 解答 0 浏览 2014-07-05 20:50
问题补充
某证券公司办理经纪业务时，接受了客户的全权委托买卖证券，该公司会被怎样进行处罚呢？
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律师解答 (1)
匿名律师律师
2014-07-05 20:50
《中华人民共和国证券法》第二百一十二条　证券公司办理经纪业务，接受客户的全权委托买卖证券的，或者证券公司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，没收违法所得，并处以五万元以上二十万元以下的罚款，可以暂停或者撤销相关业务许可。对直接负责的主管人员和其他直接责任人员给予警告，并处以三万元以上十万元以下的罚款，可以撤销任职资格或者证券从业资格。
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  142. /www/wwwroot/tp8.51wf.net/vendor/topthink/think-orm/src/db/concern/WhereQuery.php ( 19.37 KB )
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  144. /www/wwwroot/tp8.51wf.net/vendor/topthink/think-orm/src/db/concern/TableFieldInfo.php ( 2.63 KB )
  145. /www/wwwroot/tp8.51wf.net/vendor/topthink/think-orm/src/db/concern/Transaction.php ( 2.77 KB )
  146. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/log/driver/File.php ( 6.10 KB )
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  149. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/event/LogRecord.php ( 1.02 KB )
  150. /www/wwwroot/tp8.51wf.net/vendor/topthink/think-helper/src/Collection.php ( 16.47 KB )
  151. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/Route.php ( 23.73 KB )
  152. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/route/RuleName.php ( 5.74 KB )
  153. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/route/Domain.php ( 2.53 KB )
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  157. /www/wwwroot/tp8.51wf.net/app/index/route/app.php ( 33.14 KB )
  158. /www/wwwroot/tp8.51wf.net/vendor/topthink/framework/src/think/facade/Route.php ( 4.70 KB )
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  162. /www/wwwroot/tp8.51wf.net/app/index/controller/Question.php ( 43.25 KB )
  163. /www/wwwroot/tp8.51wf.net/app/common/controller/Frontend.php ( 9.69 KB )
  164. /www/wwwroot/tp8.51wf.net/app/BaseController.php ( 7.83 KB )
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  183. /www/wwwroot/tp8.51wf.net/app/common/library/LawyerAuth.php ( 11.92 KB )
  184. /www/wwwroot/tp8.51wf.net/app/common/library/LawFirmAuth.php ( 11.80 KB )
  185. /www/wwwroot/tp8.51wf.net/app/common/service/AiService.php ( 63.01 KB )
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  1. CONNECT:[ UseTime:0.000680s ] mysql:host=127.0.0.1;port=3306;dbname=dev_51wf_net;charset=utf8mb4
  2. SHOW FULL COLUMNS FROM `fa_route_redirect` [ RunTime:0.000733s ]
  3. SELECT * FROM `fa_route_redirect` WHERE `status` = 'normal' AND `is_regex` = 0 AND `old_url` = '/question/1013449.html' LIMIT 1 [ RunTime:0.000441s ]
  4. SELECT * FROM `fa_route_redirect` WHERE `status` = 'normal' AND `is_regex` = 1 ORDER BY `weigh` ASC [ RunTime:0.000330s ]
  5. SHOW FULL COLUMNS FROM `fa_city` [ RunTime:0.000836s ]
  6. SELECT * FROM `fa_city` WHERE `pinyin` <> '' AND `pinyin` IS NOT NULL ORDER BY `sort_order` LIMIT 20 [ RunTime:0.000619s ]
  7. SELECT * FROM `fa_city` WHERE `pinyin` <> '' AND `pinyin` IS NOT NULL ORDER BY `pinyin` [ RunTime:0.001167s ]
  8. SHOW FULL COLUMNS FROM `fa_province` [ RunTime:0.000562s ]
  9. SELECT * FROM `fa_province` WHERE `natual_id` <> '' AND `natual_id` IS NOT NULL ORDER BY `sort_order` LIMIT 20 [ RunTime:0.000344s ]
  10. CONNECT:[ UseTime:0.118479s ] mysql:host=43.136.182.166;port=3306;dbname=ai_brain;charset=utf8mb4
  11. SHOW FULL COLUMNS FROM `fa_ai_usage` [ RunTime:0.079763s ]
  12. SELECT * FROM `fa_ai_usage` WHERE ( `user_id` = 0 AND `client_ip` = '216.73.216.109' ) AND `usage_date` = '2026-10-30' LIMIT 1 [ RunTime:0.079220s ]
  13. SHOW FULL COLUMNS FROM `fa_question` [ RunTime:0.000939s ]
  14. SELECT * FROM `fa_question` WHERE `question_id` = '1013449' AND `audit_status` = 1 AND `deletetime` IS NULL LIMIT 1 [ RunTime:0.000582s ]
  15. SHOW FULL COLUMNS FROM `fa_qa_category` [ RunTime:0.000739s ]
  16. SELECT `text`,`category_id` FROM `fa_qa_category` WHERE `category_id` IN ('10002','10025') [ RunTime:0.000530s ]
  17. SELECT * FROM `fa_province` WHERE `province_id` = '1' LIMIT 1 [ RunTime:0.000411s ]
  18. SELECT * FROM `fa_city` WHERE `city_id` = '352' LIMIT 1 [ RunTime:0.000459s ]
  19. SHOW FULL COLUMNS FROM `fa_answer` [ RunTime:0.000614s ]
  20. SELECT `a`.`answer_id`,`a`.`content`,`a`.`creator_id`,`a`.`is_best`,`a`.`is_top`,`a`.`good_rate`,`a`.`is_ai_answer`,`a`.`ai_confidence`,`a`.`claimed_by`,`a`.`createtime`,l.name as nickname,`l`.`avatar`,`l`.`username` FROM `fa_answer` `a` LEFT JOIN `fa_lawyer` `l` ON `a`.`creator_id`=`l`.`id` WHERE `a`.`question_id` = '1013449' AND `a`.`audit_status` = '1' AND `a`.`deletetime` IS NULL ORDER BY `a`.`is_top` DESC,`a`.`is_best` DESC,`a`.`good_rate` DESC,`a`.`createtime` ASC [ RunTime:0.000771s ]
  21. SELECT `question_id`,`title`,`answer_count`,`view_count`,`create_time` FROM `fa_question` WHERE `audit_status` = 1 AND `deletetime` IS NULL AND `question_id` <> '1013449' AND `second_category_id` = '10025' ORDER BY `create_time` DESC LIMIT 8 [ RunTime:0.000907s ]
  22. SHOW FULL COLUMNS FROM `fa_lawyer_expertise` [ RunTime:0.000520s ]
  23. SELECT `l`.`id`,`l`.`name`,`l`.`avatar`,`l`.`slogan`,`l`.`answer_count`,`l`.`follower_count` FROM `fa_lawyer_expertise` `e` INNER JOIN `fa_lawyer` `l` ON `l`.`id`=`e`.`lawyer_id` WHERE `e`.`category_id` = '10025' AND `l`.`audit_status` = '1' AND `l`.`status` = 'normal' AND `l`.`deletetime` IS NULL ORDER BY `l`.`answer_count` DESC LIMIT 6 [ RunTime:0.000865s ]
  24. SHOW FULL COLUMNS FROM `fa_article` [ RunTime:0.001000s ]
  25. SELECT `a`.`id`,`a`.`title`,`a`.`thumbnail`,`a`.`view_count`,c.text as category_name FROM `fa_article` `a` LEFT JOIN `fa_qa_category` `c` ON `a`.`category_id`=`c`.`category_id` WHERE `a`.`audit_status` = '1' AND `a`.`deletetime` IS NULL ORDER BY CASE WHEN a.category_id = 10025 THEN 0 ELSE 1 END,`a`.`view_count` DESC LIMIT 4 [ RunTime:0.036292s ]
  26. SELECT `content`,`is_best`,`createtime`,`lawyer_id`,`good_rate` FROM `fa_answer` WHERE `question_id` = '1013449' AND `audit_status` = 1 AND `deletetime` IS NULL ORDER BY `is_best` DESC,`is_top` DESC,`good_rate` DESC,`createtime` ASC LIMIT 10 [ RunTime:0.000579s ]
0.386645s