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中银保监:查处包括中行、招行及东亚中国等五家机构违法违规行为
阿思达克 05-21 15:18
中国银保监会公布,近期该会严肃查处一批违法违规案件,对华夏银行(600015.SH)、渤海银行(09668.HK)、中国银行(03988.HK)、招商银行(03968.HK)、东亚中国等5家金融机构及相关责任人员依法作出行政处罚决定,处罚金额合计约3.66亿人民币。

当局指,针对中国银行违规发放并购贷款、违规向部分已签约代发工资客户收取年费等多项违法违规行为,依法没收违法所得及处罚款合计8,761.355万人民币,对1名责任人员予以警告处罚。

针对招商银行并表管理不到位,及通过关联非银机构的内部交易违规变相降低理财产品销售门槛,同业投资、理财资金等违规投向地价款或「四证」不全的房地产项目等多项违法违规行为,依法予以罚款7,170万人民币,对1名责任人员予以警告处罚。

针对东亚中国向房地产开发企业发放贷款未记入房地产开发贷款科目、利用票据「卖断+买入返售+到期买断」交易模式转移规模等多项违法违规行为,依法予以罚款1,120万人民币。

针对渤海银行投向权益类资产及集合资金信托计划的理财产品面向一般个人客户销售、银行承兑汇票保证金管理不规范等多项违法违规行为,依法予以罚款9,720万人民币,对2名责任人员分别予以警告及处罚款5万人民币。

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