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證監會禁止張釗洪重投業界兩年
阿思達克 09-12 18:03

證監會公布,禁止恆生銀行(00011.HK)前僱員張釗洪重投業界,為期兩年,由今日(12日)至2021年9月11日為止。

證監會指,經調查後決定採取上述紀律行動。調查發現,張釗洪在關鍵時間為客戶經理,於2015年12月至2016年1月期間曾於某客戶的帳戶進行三項未經授權交易。張釗洪亦在銀行的交易指示表格上偽冒該客戶的簽名,以進行該等未經授權交易。

該等未經授權交易涉及在該客戶的投資帳戶內轉換投資基金,以及兩次未經授權下將資金由該客戶的個人綜合銀行帳戶轉往其信用卡帳戶。

證監會認為,張釗洪的行為並不誠實,令他作為註冊人或持牌人的適當人選資格受到質疑。證監會在決定上述紀律處分時,已考慮到所有相關情況,包括張的失當行為導致銀行蒙受財政損失及張過往並無遭受紀律處分的紀錄。

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