花旗環球金融亞洲遭證監會譴責及罰款3.48億元 因在利便客戶活動犯嚴重監管缺失
證監會譴責花旗環球金融亞洲並處以罰款3.4825億元,原因是公司在2008年至2018年期間,一直容許其現貨股票業務部轄下多個交易櫃檯向機構客戶發佈被錯誤標籤的申購意向,並在執行利便交易時向該等客戶作出失實陳述。
證監會稱,至少自2008年起,花旗環球金融的股票銷售交易櫃檯便一直在並無真正的客戶意向或花旗環球金融並無接觸特定客戶的情況下,向客戶發出標示爲「自然」、「接觸中」及/或「P:1」的申購意向。
該等被錯誤標籤的申購意向是參照市場上特選藍籌股的每日平均成交量的特定百分比而製備,以引發客戶的查詢,而其設計據稱是相信由於有關股份交投活躍,及花旗環球金融交易平臺具備規模,故交易員將會能夠覓得自然的反向流通量,以便與客戶的交易指示進行對盤。交易員在接獲客戶的查詢後,如未能以代理方式尋獲自然流通量,花旗環球金融的利便服務櫃檯便會介入以提供流通量。
證監會認爲,若非花旗環球金融在內部監控措施、合規職能和管理層監督方面犯有嚴重失誤及缺失,如此廣泛地存在的不誠實行爲不會一直持續。同時,花旗環球金融的缺失及失當行爲可歸因於其部分前高級管理人員沒有履行他們的監督職責所致。證監會稍後會對有關人士展開紀律程序。
花旗環球金融已採取補救步驟及改善措施,以糾正和加強對於申購意向及利便客戶活動的內部監控措施,包括委任獨立檢討機構,以檢討及驗證其監控框架。
證監會行政總裁歐達禮表示,花旗環球金融所犯缺失的嚴重程度揭露了公司存在一種鼓吹逐利而漠視誠實這基本標準的文化。因此,當員工面對要招攬更多生意及提升花旗環球金融的市場佔有率的持續商業壓力時,採取了欺詐手法而不惜犧牲客戶的最佳利益和損害市場廉潔穩健。由於花旗環球金融遠遜於持牌中介人理應達到的標準,故有必要對其施加制裁。此舉亦闡明瞭證監會的零容忍態度,並決心根除持牌中介人的失當行爲。
證監會法規執行部執行董事魏建新則指,證監會其中一個主要關注點是,花旗環球金融的高級管理層沒有確保能夠維持適當的操守標準和遵守相關監管規定,以及瞭解、管理和監察其業務及風險。該失當行爲相當普遍並持續了超過十年,這反映花旗環球金融的高級管理層沒有妥善履行其管理及監督責任。(ek/a)
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