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光大證券(香港)遭證監會譴責及罰款380萬元
中國光大證券(香港)有限公司,簡稱光大證券,因違反有關打擊洗錢的監管規定而遭證監會譴責及罰款380萬元。 證監會發現,光大證券在2015年1月至2017年2月期間,沒有實施充足及有效的制度和管控措施,以防範及減低與第三者存款相關的洗錢及恐怖分子資金籌集風險。 證監會的調查包括對光大證券於有關期間收到的存款進行抽樣檢視,過程中發現光大證券未能識別178筆透過光大證券在某家本地銀行開立的多個子帳戶作出的第三者存款,金額超過2.5億元。 證監會認為光大證券的行為違反了《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》。 證監會在決定採取上述紀律處分時,已考慮到有需要向市場傳遞具阻嚇力的強烈訊息,以示有關打擊洗錢及恐怖分子資金籌集的缺失不可接受;光大證券採取了補救行動,以加強其打擊洗錢及恐怖分子資金籌集的內部管控措施及制度;及光大證券與證監會合作解決證監會的關注事項。
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