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中銀保監:查處包括中行、招行及東亞中國等五家機構違法違規行為
阿思達克 05-21 15:18
中國銀保監會公布,近期該會嚴肅查處一批違法違規案件,對華夏銀行(600015.SH)、渤海銀行(09668.HK)、中國銀行(03988.HK)、招商銀行(03968.HK)、東亞中國等5家金融機構及相關責任人員依法作出行政處罰決定,處罰金額合計約3.66億人民幣。

當局指,針對中國銀行違規發放併購貸款、違規向部分已簽約代發工資客戶收取年費等多項違法違規行為,依法沒收違法所得及處罰款合計8,761.355萬人民幣,對1名責任人員予以警告處罰。

針對招商銀行併表管理不到位,及通過關聯非銀機構的內部交易違規變相降低理財產品銷售門檻,同業投資、理財資金等違規投向地價款或「四證」不全的房地產項目等多項違法違規行為,依法予以罰款7,170萬人民幣,對1名責任人員予以警告處罰。

針對東亞中國向房地產開發企業發放貸款未記入房地產開發貸款科目、利用票據「賣斷+買入返售+到期買斷」交易模式轉移規模等多項違法違規行為,依法予以罰款1,120萬人民幣。

針對渤海銀行投向權益類資產及集合資金信托計劃的理財產品面向一般個人客戶銷售、銀行承兌匯票保證金管理不規範等多項違法違規行為,依法予以罰款9,720萬人民幣,對2名責任人員分別予以警告及處罰款5萬人民幣。

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