证监会禁止张钊洪重投业界两年
证监会公布,禁止恒生银行(00011.HK)前雇员张钊洪重投业界,为期两年,由今日(12日)至2021年9月11日为止。
证监会指,经调查後决定采取上述纪律行动。调查发现,张钊洪在关键时间为客户经理,於2015年12月至2016年1月期间曾於某客户的帐户进行三项未经授权交易。张钊洪亦在银行的交易指示表格上伪冒该客户的签名,以进行该等未经授权交易。
该等未经授权交易涉及在该客户的投资帐户内转换投资基金,以及两次未经授权下将资金由该客户的个人综合银行帐户转往其信用卡帐户。
证监会认为,张钊洪的行为并不诚实,令他作为注册人或持牌人的适当人选资格受到质疑。证监会在决定上述纪律处分时,已考虑到所有相关情况,包括张的失当行为导致银行蒙受财政损失及张过往并无遭受纪律处分的纪录。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!

Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.