CLSA PREMIUM(06877.HK):附屬CLSAP NZ已成功與FMA達成共識
格隆匯5月6日丨CLSA PREMIUM(06877.HK)公佈,於Financial Markets Authority of New Zealand(“FMA”)在2020年6月提出有關公司附屬CLSA Premium New Zealand Limited (“CLSAP NZ”)涉嫌於2015年4月及2018年11月期間未有遵守AML/CFL法(“該法案”)規定責任的指控後,CLSAP NZ已成功與FMA達成共識,並向新西蘭高等法院提交了一份事實同意書。現定於2021年7月5日開庭審理罰款。
CLSAP NZ已承認以下違規行為:1)沒有按照該法案第二部的要求進行客户盡職調查;2)未能根據該法案第三十七條終止現有的業務關係;3)沒有按照該法案第四十條的規定報吿可疑交易/活動;及4)沒有按照該法案第四十九和五十條的規定保存記錄。
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