证监会禁止新鸿基投资前持牌代表伍乐勤重投业界30个月
证监会禁止新鸿基投资前持牌代表伍乐勤重投业界,为期三十个月,自9月27日起至2022年3月26日止。证监会调查发现伍乐勤於於2015年2月27日,透过一名客户的帐户就某权证发出多个买盘,致使该权证的价格明显上涨。伍乐勤之後随即将个人持有的该权证全数售予该客户,藉此获利14,510元,而该客户则蒙受了13,040元的帐面损失。
证监会认为,伍乐勤抬高该权证的价格以便抛售个人持有的该权证及从中获利,并使其客户蒙受损失,乃属不诚实的行为,并且对客户不公平,其行为对其他市场参与者亦不公平,因为此举干扰到正常定价过程的中立性和客观性,并可能影响到同业对该权证所制定的交易策略及投资决定。当局亦发现,伍乐勤在没有事先取得该客户的书面授权,并在新鸿基投资不知情及没有作出批准的情况下,以委托形式在客户的帐户内进行交易。这令新鸿基投资无法监察及监督该帐户的运作情况,进而剥夺客户从新鸿基投资透过监督伍在其帐户内进行的委托交易所获得的保障。
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