my financial empire

Chapter 32 Investigation Storm!

Among them, Fang Wanqing glanced at Su Yue nervously, a little hesitant to speak.

She knew that Su Yue had been using his personal stock account to operate, and she was also worried that the investigation team came here for Su Yue.

Su Yue noticed her concerned gaze, and calmly smiled back, signaling her not to worry.

"Mr. Wang, Manager Wang, please provide the background transaction data of the fund product 'Future Investment Mixed Selection', as well as the delivery data of the fund sub-accounts operated by each trader." After the personnel took over all the working computers in the trading room, they smiled and said to Mr. Wang and Wang Liling beside them, "At the same time, including Mr. Wang, Manager Wang, and all traders, the personal transactions you have operated within half a year Account, whether it is currently filed or not, please provide it.”

Mr. Wang glanced at Wang Liling after the other party made a request.

Wang Liling didn't wait for Mr. Wang's order, she said "yes", and handed over the fund transaction data requested by the other party.

It's just about personal trading accounts. As a fund manager, she is not completely clear about whether the members of the trading team have used other personal stock accounts to operate in private. Therefore, except for Su Yue who has completed the filing For the stock account, besides the account data she can provide, the rest... can only be understood by the investigation team.

"Thank you, Manager Wang, for your cooperation!" The leading man in a suit simply greeted him after receiving the data.

Then, together with other members of the investigation team, they directly occupied the office space of the trading room and began to check the corresponding data.

When the investigation team checked the data and checked the illegal transactions of the traders, the trading room of the "Future Investment Mixed Selection" fund product was raided by the investigation team of the Fund Institution Supervision Department of the China Securities Regulatory Commission, and there were rumors of illegal transactions. In an instant, like a hurricane, it swept through all departments of the company.

"What's the situation, an illegal transaction?"

"What is the violation? Insider trading? Concentrated manipulation of stock prices? Or is it that traders use unregistered personal stock accounts to speculate in stocks, which conflicts with the interests of fund holders and is suspected of being a rat warehouse?"

"Isn't it possible to concentrate on manipulating the stock price? The fund product 'Future Investment Mixed Select' is so small, how can it manipulate the stock price?"

"That's insider trading!"

"Insider trading is unlikely, right? We are a public fund, and our shareholdings are public!"

"No matter what the violation is, there must be such a thing, otherwise the investigation team of the Fund Institution Supervision Department of the China Securities Regulatory Commission will not come to our company."

"Hey, the fund product 'Future Investment Mixed Selection' should be completely cold, right?"

"Since Manager Wang took over the fund product 'Future Investment Mixed Selection', the recent net profit performance of this fund product is indeed not normal."

"No wonder, I said why the net profit of this fund product soared so fast, it turned out to be an illegal transaction."

In various departments of the company, among the many small groups of employees, gossip news is continuing to spread and ferment.

Mr. Lin, who is in charge of the asset management business of the company, had a sullen face, summoned the heads of the various departments of the asset management business, and quickly held an internal meeting, asking the heads of each department to restrain the employee group, and let everyone not spread the news before the investigation results came out. damage the company's reputation and reputation.

At the same time, Mr. Lin found out about this after someone reported it with his real name.

He also began to use his personal connections to find out the person who made the report.

After all, even if there are any illegal trading operations in the fund products managed by the company, according to the procedures, it will be handled by the company's internal risk control supervision department, and only special violations that cannot be handled by the company's internal risk control supervision department will be reported. The regulators of the Securities Regulatory Commission intervened.

Today, the company's risk control and supervision department has not found any abnormalities, and the China Securities Regulatory Commission's supervision department has directly intervened.

If it wasn't for someone deliberately targeting them at the 'Shenghong Fund Management Company', then there was something wrong with the company's internal staff.

Of course, after Mr. Lin sorted out the whole thing carefully, he was more inclined to have a problem with the company's internal personnel.

Because, if external competitors report on the target, they will definitely not target the "Future Investment Mixed Selection", which is small in scale, basically on the marginal fund products managed by the company, and most of them will target the company's strength. The main fund products that were pushed were reported and cracked down.

In this way, following the logic to sort out, the result is self-evident.

"Xiao Wang, Team Leader Zhao, keep an eye on it." Mr. Lin narrowed his eyes and pondered for a while, then told Mr. Wang beside him, "If he needs anything, you will cooperate to provide it, no matter what the investigation finds out. We all support the results, of course... if there is no problem, we have to appeal and show our attitude."

"Understood!" President Wang nodded.

Now that the investigation team of the supervisory level has been involved in this matter, it is no longer a matter of the fund product trading room of "Future Investment Mixed Selection", but a matter of the entire "Shenghong Fund Management Company". It is also related to the reputation and reputation of the entire company.

"Also..." Mr. Lin paused, and continued to order, "Pay attention to the movements in the trading rooms of our company's other fund products, and see if there is any abnormality."

When Mr. Wang heard this, he was startled: "Mr. Lin, you suspect..."

"Let's wait for the results of the investigation first!" Mr. Lin interrupted Mr. Wang without further words.

Mr. Wang suppressed certain guesses in his heart, hesitated for a while, and finally swallowed some words back into his stomach, nodded in response, and exited Mr. Lin's office.

And at this moment, as the core focus of the entire company, the "Future Investment Mixed Selection" fund trading room.

After reviewing the transaction data of the complete fund and the operating accounts of each trader, the entire investigation team focused on the fund sub-account operated by Su Yue and his personal stock trading account.

"Group leader Zhao, this stock trading account has been filed a month ago." A member of the investigation team carefully compared the transaction data of Su Yue's personal stock trading account and the fund sub-account, and said, "And , Comparing the delivery order data, no conflict of interest was found between this stock account and the corresponding fund trading account.”

"So it's not a violation?" Zhao Xiaocheng, the leader of the investigation team, asked.

The team member responded: "Naturally it doesn't count, but... the net worth trend of the fund trading account operated by this trader feels a little abnormal."

"What's abnormal?" Zhao Xiaocheng continued to ask.

The team member replied: "The fund trading account operated by this trader only has data for one and a half months, but the net profit of the account has skyrocketed by 2.6 times in this one and a half months, and it can be seen from the delivery note that his The buying and selling point of every transaction is at the turning point of the stock price, which is incredible, I suspect... this account is suspected of insider trading."

"Let me see..." Hearing what the team members said, Zhao Xiaocheng hurriedly lay down in front of Su Yue's computer.

Then, ten minutes later.

After he carefully reviewed every transaction in this account, he raised his head, walked outside the trading room, and asked Wang Liling who had been waiting here: "Manager Wang, this trader named Su Yue, I need to see you."

"Does he have... any problem?" Wang Liling asked subconsciously with her heart tightening.

Zhao Xiaocheng responded with a smile: "Sorry, it's inconvenient to disclose the specifics. Manager Wang just needs to call him over."

"Okay!" Wang Liling nodded.

Afterwards, he called Su Yue who was in the lounge, and let him walk into the trading room independently.

Zhao Xiaocheng looked at Su Yue in front of him, with a trace of surprise in his eyes. He never expected him to be so young, and asked, "Are you Su Yue?"

Su Yue nodded.

"This fund trading account is operated by you, right?"

Zhao Xiaocheng pointed to the transaction data displayed on Su Yue's computer.

Su Yue continued to nod, and responded: "Yes, I am operating, what's the problem?"

"Can you tell me about the logic and motivation of each of your transactions?" Zhao Xiaocheng said, "We need to understand these."

Su Yue smiled and said: "Since Team Leader Zhao is so interested in market transactions, I naturally know everything."

"You know me?" The surprise in Zhao Xiaocheng's eyes became more intense.

Su Yue replied: "Your identity is not difficult to understand. In my opinion, in addition to paying attention to the information on the market, the information outside the market is equally important for an excellent trader."

"Good boy!" Zhao Xiaocheng smiled and sighed.

"Then let's start!" Su Yue made a gesture of invitation, his whole demeanor was extremely calm.

Zhao Xiaocheng nodded with a smile, let Su Yue sit down on a chair in the trading room, his eyes became more and more surprised at him, and began to ask about the corresponding doubts in the fund trading account operated by Su Yue.

And when Su Yue was questioned alone by the investigation team and did not leave the trading room for a long time.

In the whole company, the rumors and gossip about the 'Future Investment Mixed Selection' fund product trading team being raided and censored by the investigation team also began to quickly focus on Su Yue.

"Su Yue? Is that the trader who used to argue with Lu Pengfei, the leader of the 'Technology Growth, Innovation Investment Mixed Selection' fund product trading group, in the company cafeteria about the main line of market investment? I didn't expect him to trade illegally!"

"Sure enough, he is still too young. He must have used his personal account to speculate in stocks in violation of regulations."

"At first, I thought this kid had some talent in market analysis and trading understanding, but now it seems..."

"It seems that this kid is going to be caught by the investigation team of the regulatory authorities. If he trades illegally, at least... he will be punished with a serious warning, right?"

"I heard that Mr. Lin admires this trader named Su Yue. Now... the future of this kid is over, right?"

"This kid traded illegally and was investigated by the regulatory investigation team on the spot, which not only seriously damaged the interests of the fund product 'Future Investment Mixed Selection', but also greatly damaged the image of our company. It is estimated that even if the regulatory punishment is not heavy , I'm afraid the company won't use this kid anymore."

"If you are fired from the company because of this kind of thing, it will be considered blacklisted in the industry, right?"

"That's for sure, hey... Anyway, this kid's future is doomed."

Amidst the discussions among almost all employees in the whole company, the investigation team ended the questioning of Su Yue around 5 o'clock in the afternoon.

"Team Leader Zhao, have you...resulted in your investigation?"

Seeing the investigation team walk out of the trading room, Wang Liling hurriedly asked, who had been waiting outside the trading room.

Zhao Xiaocheng responded with a smile: "The investigation of the illegal transactions of your 'Future Investment Mixed Selection' fund product is over, and we have not found any doubts, but for the trader named Su Yue in your trading room, regarding His investigation is not over yet.

We have extracted his transaction data, and when we go back, we will combine today's inquiry transcripts and other evidence we have to continue our in-depth investigation.

However, don't worry, within three working days, we will give the final investigation results. "

"Okay, please trouble Team Leader Zhao." Wang Liling squeezed the sweat in her palms, forced a smile in response, and sent the investigation team out of the company's fund trading department.

And when she returned to the department's trading room.

I saw that Su Yue was just like a normal person, sitting at the work station, chatting and laughing with everyone.

"Su Yue, come to my office." Wang Liling ordered, and walked towards her office.

Su Yue responded, followed behind her, and entered the office with her.

"What did Team Leader Zhao tell you?" Wang Liling asked anxiously, "If you have any questions, you can tell me now before it's too late. I have a classmate who works in the Fund Institution Supervision Department of the China Securities Regulatory Commission. Big, I can think of a way for you.

Su Yue, market violations are no small matter.

Now the results of the investigation have not yet been released, and the result of the punishment has not yet been determined. There is still room for redemption.

If, I mean, if...the investigation results show that you have violated the regulations, no matter what punishment is given by the final regulator, your career prospects will be ruined, do you understand? "

Su Yue responded with a smile: "Team Leader Zhao just asked me what I was thinking about when trading, the trading logic and motivation I followed, and nothing else, Master... Don't worry, the red line of market supervision is in my heart. It's very clear, there will be no problem."

"I'm afraid that if you are inexperienced, you will touch the red line inadvertently." Wang Liling sighed softly.

"I am the apprentice you taught me. I can't make mistakes when it comes to market rules." Su Yue responded, thought for a while, and said, "Master, today our department's trading room was suddenly investigated. In fact... It’s not as simple as it seems.”

Wang Liling nodded and said: "I also know that someone is targeting our department, but this is not the time for us to focus on it and get to the bottom of it, but how to get you through the investigation of illegal transactions safely."

(End of this chapter)