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证监会禁止新鸿基投资前客户主任陈舜(王京)重投业界24个月
阿思达克 11-25 16:50
证监会就新鸿基投资前客户主任陈舜(王京)违反证监会的《操守准则》,禁止她重投业界,为期24个月,由2020年11月25日起至2022年11月24日止。证监会调查发现,陈於2008年10月至2015年8月期间,在没有事先获得两名客户的书面授权及新鸿基投资高级管理层审批的情况下,以委托形式在该等客户的帐户内进行交易。陈的做法违反了《操守准则》内有关委托帐户的授权及操作的监管规定,以及新鸿基投资有关委托帐户的政策和程序。

证监会认为,陈没有以适当的技能、小心审慎和勤勉尽责的态度行事,以维护客户的最佳利益。陈的行为令新鸿基投资未能对有关帐户的操作进行监察及监督,以及无法保障客户免其承受在帐户内出现未经授权买卖的风险,以致他们的利益受到损害。

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