對一通作出譴責及罰款60萬元 證監會:上訴審裁處維持判決
證監會表示,因一通違反《操守準則》,遂對其作出譴責並處以罰款60萬元,該紀律行動已獲證券及期貨事務上訴審裁處予以維持。
證監會的紀律行動源於一通對香港交易所在2015年4月6日進行的內部系統測試的反應。該系統測試所產生的測試數據以模擬指令、交易及證券價格的形式出現,且會傳送至香港交易所市場數據系統的客戶。
證監會發現,一通轉而將這些理應不獲理會的數據在其本身的系統內發布。此舉導致由12名客戶發出的27項止蝕賣出指令在下一個交易日被錯誤地觸發及執行。然而,一通並無迅速地主動將該事件通知受影響客戶,也沒有及時向他們提出適當的賠償方案。
證監會認為,一通沒有以適當的技能、小心審慎和勤勉盡責的態度行事,以維護客戶的最佳利益,因而違反了《操守準則》。(ca/u)
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