证监会对智易东方证券作出谴责并处以罚款630万元
证监会公布,对智易东方证券作出谴责并处以罚款630万元,原因是智易东方违反牌照条件及在销售非上市债券方面犯有缺失。证监会调查发现,智易东方曾在2014年7月1日至2015年6月15日期间,向八名客户提供委托帐户管理服务,以赚取管理年费;及在2014年10月28日至2015年11月16日期间,直接向四家上市公司介绍36名客户认购这些公司合共约1.08亿元的非上市债券。
证监会并发现,智易东方的系统和监控措施存在严重缺失,指其没有在向客户作出建议之前,对非上市债券进行充分的产品尽职审查;没有设立有效的制度,以评估客户的承受风险能力,及确保就非上市债券向客户作出的建议及/或招揽行为对客户而言是合适和合理的;没有就向客户提供的投资意见或建议备存任何文件纪录,或向他们提供书面意见的副本;及没有向客户披露其就成功配售非上市债券所收取的佣金。
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.