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南華期貨因違反監管規定遭證監會譴責和罰款480萬元
阿思達克 02-14 17:27
證監會譴責南華期貨並處以罰款480萬元,原因是該公司在2017年6月至2018年10月期間沒有遵守打擊洗錢及恐怖分子資金籌集規定和其他監管規定。 證監會的調查發現,南華期貨在關鍵時間沒有對19名客戶用以發出交易指示的客戶自設系統進行任何盡職審查,以致未能妥善評估並管理客戶使用該系統相關的洗錢及恐怖分子資金籌集風險和其他風險。 此外,證監會識別出存入四個客戶帳戶內的款項與有關客戶所聲明的財政狀況並不相稱。南華期貨聲稱並無察覺該等異常情況。證監會認爲南華期貨未能顯示出它曾就有關存款作適當查詢,並妥善處理所涉及的洗錢及恐怖分子資金籌集風險。 證監會更發現,南華期貨沒有設立有效的持續監察系統以偵測客戶帳戶內的可疑交易模式,導致未能偵測出九個客戶帳戶內的3,783項自我配對交易。 證監會認爲,南華期貨的系統及監控措施不足及成效不彰,且該公司沒有確保《打擊洗錢及恐怖分子資金籌集條例》、《打擊洗錢及恐怖分子資金籌集指引》和《操守準則》獲得遵守。 證監會在決定對南華期貨採取上述紀律處分時,已考慮到南華期貨沒有勤勉盡責地監察其客戶活動,以及設立充足而有效的打擊洗錢及恐怖分子資金籌集制度和監控措施,乃屬嚴重缺失,因爲這可能會損害公衆對市場的信心和破壞市場的廉潔穩健;有需要向市場傳遞具阻嚇力的強烈訊息,以示有關缺失不可接受;南華期貨已採取補救措施,以加強其內部系統及監控措施;南華期貨在解決證監會提出的關注事項時表現合作;及南華期貨過往並無遭受紀律處分的紀錄。
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