證監會譴責英皇證券及英皇期貨違反打擊洗錢規定 罰款540萬元
證監會譴責英皇證券(香港)有限公司及英皇期貨有限公司,並處以540萬元罰款,原因是英皇沒有遵守有關打擊洗錢及恐怖分子資金籌集的監管規定。
證監會表示,經調查後發現英皇沒有實施充足而有效的政策和程序,以減低與第三者存款及付款相關的洗錢及恐怖分子資金籌集風險,指出英皇證券及英皇期貨在2016年12月1日至2017年12月10日期間,分別例行地處理732項及32項第三者資金轉帳,合共約10.5億元及1,760萬元,但沒有妥善地審查這些轉帳是否合理,認爲英皇的行爲違反《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》。
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