1 thought on “Securities Law Case Analysis Questions”
Vernon
(1) Answer: Xiao Wang accidentally performed misunderstandings because of his accidental work and violated the principle of caution. Xiao Wang used the customer securities account to buy and sell stocks, violating the principle of authority of customer instructions. Under this circumstances, he illegally financed the customer. Although Xiao Wang made a return to the Sales Department, my country’s securities company is currently not allowed to promote the integration of margin financing and securities and securities companies. my country Securities Company currently does not allow the development of margin financing and securities and securities. Xiao Wang and the manager of the business department knew that they were committed. Xiao Wang should directly bear the corresponding legal liability. (2) Answer: Ding should claim to the securities company. According to my country’s “Securities Law”, securities companies must carry out brokerage business in accordance with the wishes of customers. As a legal person organization, Ding and the securities company agency relationship, the company (little king is inside} should bear responsibility.
(1) Answer: Xiao Wang accidentally performed misunderstandings because of his accidental work and violated the principle of caution. Xiao Wang used the customer securities account to buy and sell stocks, violating the principle of authority of customer instructions. Under this circumstances, he illegally financed the customer. Although Xiao Wang made a return to the Sales Department, my country’s securities company is currently not allowed to promote the integration of margin financing and securities and securities companies. my country Securities Company currently does not allow the development of margin financing and securities and securities. Xiao Wang and the manager of the business department knew that they were committed. Xiao Wang should directly bear the corresponding legal liability.
(2) Answer: Ding should claim to the securities company. According to my country’s “Securities Law”, securities companies must carry out brokerage business in accordance with the wishes of customers. As a legal person organization, Ding and the securities company agency relationship, the company (little king is inside} should bear responsibility.