證監會向經紀行發出限制通知書 凍結與涉嫌市場操控活動有關客戶帳戶
證監會公布,向中資證券有限公司發出限制通知書,禁止該經紀行處置或處理其六個客戶帳戶內總值1.7億港元的資產。該等款項與2019年11月至2019年12月初針對HON CORP(08259.HK)股份的涉嫌市場操控活動有關。
該限制通知書禁止中資證券在未取得證監會的事先書面同意的情況下,以任何方式處置或處理、輔助、慫使或促致另一人處置或處理該等帳戶內的任何資產,包括:(i)就任何證券訂立交易;及/或(ii)處理證券及/或因處置證券而產生的現金的任何提取或轉移;及/或(iii)按該等帳戶的任何獲授權人或任何代其行事的人的指示處置或處理任何證券或現金;及/或(iv)輔助另一人以指明方式處置或處理任何有關財產。中資證券如接獲任何上述指示,亦須通知證監會。
證監會認為,就維護投資大眾及公眾利益而言,發出限制通知書是可取的做法。
證監會的調查仍在進行中。
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