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东亚银行(00023.HK)因违反监管规定遭证监会谴责及罚款420万元
阿思达克 09-17 17:04
证监会公布,东亚银行(00023.HK)因没有依监管规定分开存放客户证券,遭证券及期货事务监察委员会谴责及罚款420万元.

证监会在接获金管局的转介及东亚银行自行报告有关事件後进行调查,发现东亚银行在2003年4月1日至2016年12月5日期间,没有将分别存放於两名外部保管人(即中央结算及交收系统和Sumitomo Mitsui Banking Corporation, Tokyo)所维持的帐户内的客户证券与自营证券分开保管。

虽然东亚银行在其内部电子会计纪录内已识别出有关客户证券,但它没有遵守有关持牌法团须将客户证券保管在被指定为信托帐户或客户帐户的独立帐户内的监管规定。

证监会在决定上述处分时,已考虑到所有相关情况,包括:没有证据显示客户因东亚银行的违规事项而蒙受损失;东亚银行在发现违反有关规定後已将其客户证券与自营证券分开存放;东亚银行采取纠正行动,以加强其内部系统和监控措施,避免再次出现类似的违规事项;及东亚银行在解决证监会的关注事项及接受其调查结果和纪律行动时表现合作。

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