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東亞銀行(00023.HK)因違反監管規定遭證監會譴責及罰款420萬元
阿思達克 09-17 17:04
證監會公布,東亞銀行(00023.HK)因沒有依監管規定分開存放客戶證券,遭證券及期貨事務監察委員會譴責及罰款420萬元.

證監會在接獲金管局的轉介及東亞銀行自行報告有關事件後進行調查,發現東亞銀行在2003年4月1日至2016年12月5日期間,沒有將分別存放於兩名外部保管人(即中央結算及交收系統和Sumitomo Mitsui Banking Corporation, Tokyo)所維持的帳戶內的客戶證券與自營證券分開保管。

雖然東亞銀行在其內部電子會計紀錄內已識別出有關客戶證券,但它沒有遵守有關持牌法團須將客戶證券保管在被指定為信託帳戶或客戶帳戶的獨立帳戶內的監管規定。

證監會在決定上述處分時,已考慮到所有相關情況,包括:沒有證據顯示客戶因東亞銀行的違規事項而蒙受損失;東亞銀行在發現違反有關規定後已將其客戶證券與自營證券分開存放;東亞銀行採取糾正行動,以加強其內部系統和監控措施,避免再次出現類似的違規事項;及東亞銀行在解決證監會的關注事項及接受其調查結果和紀律行動時表現合作。

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