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證監會向15家經紀行發出限制通知書 凍結與懷疑社交媒體「唱高散貨」騙局有關客戶帳戶
阿思達克 03-15 18:22
證監會向15家經紀行發出限制通知書,禁止它們處理或處置32個交易帳戶內的某些資產。這些資產與一宗懷疑社交媒體「唱高散貨」騙局有關,當中涉及於2019年11月至2020年11月期間就一家在香港聯合交易所有限公司上市的公司的股份進行的市場操縱活動。

該15家經紀行分別是:勤豐證券有限公司、中國銀河國際證券(香港)有限公司、中國通海證券有限公司、英皇證券(香港)有限公司、進陞證券有限公司、名匯證券有限公司、富途證券國際(香港)有限公司、華泰金融控股(香港)有限公司、一盈證券有限公司、凱基證券亞洲有限公司、聚富證券有限公司、所羅門證券有限公司、新鴻基投資服務有限公司、太陽國際証券有限公司及禹洲金融控股(香港)有限公司。

有關限制通知書禁止這些經紀行在沒有事先取得證監會的書面同意的情況下,以任何方式處置或處理,或輔助、慫使或促致另一人以任何方式處置或處理該等交易帳戶內的任何資產(以某個數額為限),包括:(i)訂立交易以取得股份;(ii)處理證券及/或現金的任何提取或轉移,或處理因處置證券而產生的款項的任何轉移;(iii)按該等帳戶的任何獲授權人或任何代客戶行事的人的指示處置或處理任何證券及/或現金;及(iv)輔助另一人以指明或以外的方式處理任何有關財產。若該等經紀行接獲任何上述指示,亦須通知證監會。

證監會認為,就維護投資大眾或公眾利益而言,發出有關限制通知書是可取的做法。

證監會的調查仍在進行中。

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