華鑫股份(600621.SH)：華鑫期貨收到紀律處分決定書
格隆匯 7 月 20日丨華鑫股份(600621.SH)公佈，2020年7月17日，華鑫期貨收到中國金融期貨交易所《紀律處分決定書》([2020]1號)，主要內容如下：
“當事人：華鑫期貨有限公司(以下簡稱華鑫期貨)，統一社會信用代碼：91310000132110746J，會員號：0185，地址：上海市黃浦區寧海東路200號，電話：021-63731971，法定代表人：李俊。
依據《中國金融期貨交易所違規違約處理辦法(2013年8月30日修訂)》的有關規定，我所對華鑫期貨有限公司違反會員義務、對客户管理不善一案進行了立案調查、審理。本案現已調查、審理終結。
經查明，華鑫期貨未督促相關客户履行實際控制關係賬户報備義務，未按規定完全履行程序化交易報備義務，使用未經我所接口適應性測試的系統傳遞交易指令。同時，華鑫期貨未履行客户管理職責、對客户管理不善，其客户伊世頓公司的行為嚴重擾亂市場交易秩序，構成操縱期貨市場犯罪；華鑫期貨風險管理和內部控制存在缺陷，原技術總監參與了伊世頓公司的犯罪行為，華鑫期貨未採取有效措施防範。華鑫期貨的行為符合《違規違約處理辦法》第十八條、第十九條有關會員違反我所會員管理和交易管理規定的情形。
上述行為，有上海市高級人民法院刑事裁定書、上海市第一中級人民法院刑事判決書、上海證監局行政處罰決定書、華鑫期貨情況説明、華鑫期貨首席風險官問詢談話筆錄、伊世頓賬户組實際控制關係報備情況、華鑫期貨報備伊世頓賬户組程序化交易情況、上海證監局行政監管措施決定書等證據證明，事實清楚，證據充分。根據當事人違規行為的事實、性質、情節，依據《違規違約處理辦法》第十八條、第十九條、第三十二條的規定，本所決定：對華鑫期貨採取通報批評、暫停受理華鑫期貨為客户申請我所交易編碼業務六個月的措施，暫停受理日期從2020年7月18日至2021年1月17日，並將處理結果記入資本市場誠信檔案。
當事人如對本處理決定不服，可以在收到本處理決定書之日起10日內向我所書面申請複議，複議期間不停止決定的執行。”
華鑫期貨對中國金融期貨交易所《紀律處分決定書》([2020]1號)無異議。
華鑫期貨將加強內部控制與客户服務，繼續為客户提供各類增值服務，鞏固與客户的長期合作關係。
目前華鑫期貨經營狀況正常,上述紀律處分事項對華鑫期貨的業務經營、財務狀況不構成重大不利影響。
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