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證監會譴責國信證券(香港)經紀 並處罰280萬元
阿思達克 12-21 16:56
證監會譴責國信證券(香港)經紀,並處以罰款280萬元,原因是國信在處理客戶資產及提供客戶帳戶結單方面違反監管規定。 證監會的調查發現,在2021年1月1日至2021年3月7日期間,國信為取得財務融通,依賴1,009名客戶有效期已屆滿的常設授權,將他們的證券抵押品再質押給某家銀行作為抵押品。證監會亦發現,在2020年5月至2020年11月期間,國信向930名客戶提供資料不完整和不正確的月結單。國信的缺失違反了《證券及期貨(客戶證券)規則》、《證券及期貨(成交單據、戶口結單及收據)規則》及《操守準則》。 證監會在決定採取上述紀律處分時,已考慮國信就其違反《客戶證券規則》及《成交單據規則》的情況採取了補救行動,並主動向證監會作出匯報;上述事件看似是個別事件;並無證據顯示國信的監管違規行為令客戶蒙受損失;及國信與證監會合作解決證監會的關注事項,及接受其調查結果和紀律行動。
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