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交銀國際證券遭證監會譴責及罰款1,960萬元
阿思達克 04-20 16:58
證監會公布,交銀國際證券因犯有一連串監管違規事項,包括在處理第三方資金存款及維持和實施保證金貸款和追收保證金政策方面的缺失,遭當局譴責並罰款1,960萬元。公布指,交銀證券亦沒有設立充分及有效的監控措施以識別第三方存入客戶帳戶的款項,以至未能確保該公司遵守《打擊洗錢及恐怖分子資金籌集指引》,及《內部監控指引》和《操守準則》內的多項條文。

證監會發現,有多筆分別在2009年、2011年及2015年以支票及銀行轉帳方式存入客戶帳戶的第三方存款,直至2016年才被識別出來。

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