You are browsing the Hong Kong website, Regulated by Hong Kong SFC (CE number: BJA907). Investment is risky and you must be cautious when entering the market.
涉一马基金监控缺失 高盛亚洲遭证监会谴责及罚款27.1亿港元破纪录
阿思达克 10-22 17:12
证监会(SFC)指出,高盛亚洲因在管理层监督、风险、合规及打击洗钱等监控方面犯有严重失误和缺失,令1Malaysia Development Berhad(1MDB)於2012年及2013年透过三次债券发售筹得的65亿美元中有26亿美元被挪用,因而遭证监会谴责及罚款3.5亿美元(27.1亿港元),是历来对持牌中介机构最大宗罚款。

上述1MDB的债券发售由Goldman Sachs International安排及包销,但实际工作是由身处多个司法管辖区的交易团队成员进行,而有关交易所产生的收入由高盛位於不同司法管辖区的实体分享。值得注意的是,以香港为基地的高盛亚洲作为高盛在亚洲的合规及监控中心,於该三宗1MDB的债券发售的发起、批准、执行及销售过程中的参与程度非常高。高盛亚洲最终自有关债券发售所产生的5.67亿美元总收入中获得37%(金额为2.1亿美元),在高盛的各个实体中占最大的份额。

证监会认为,高盛亚洲欠缺充分的监控措施,以在其日常运作中监察职员和侦测失当行为,并在与1MDB债券发售有关的多项预警迹象未获适当审查,及尚未就有关预警迹象得到令人满意的答案时,便容许该等发售继续进行。证监会行政总裁欧达礼示,证监会就高盛亚洲在2012年及2013年於1MDB事件中的参与有否违反持牌人在香港法规下所应达到的标准,进行了严谨及独立的调查,而这次的执法行动正是上述工作的成果。

欧达礼续指,个案的罚则纯粹按照香港自身的罚则框架进行评估,反映了证监会认为高盛亚洲没有适当处理围绕1MDB的债券发售的多个可疑情况。这些缺失导致高盛亚洲多次严重地违反证监会的规则,当中订明了所有受证监会监督的商号理应达致的严格行为标准。

Follow us
Find us on Facebook, Twitter , Instagram, and YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app!
Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements. Any calculations or images in the article are for illustrative purposes only.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance. Please carefully consider your personal risk tolerance, and consult independent professional advice if necessary.
uSMART
Wealth Growth Made Easy
Open Account