證監會凍結指尖悅動(06860.HK)3名現任及前任管理人員證券戶口
證監會表示,即將對指尖悅動(06860.HK)的現任或前任管理團隊展開民事法律程序,涉案3名人士涉嫌犯失當行為,及違反對指尖悅動的責任,並尋求涉案人士向指尖悅動賠償。
證監會指,已向英皇證券、中策富匯證券及招銀國際證券發出限制通知書,禁止它們處置或處理其若干客戶帳戶內持有的資產。實益擁有該等資產的三名人士涉嫌犯了失當行為,及違反了對指尖悅動的責任。
英皇、中策富匯及招銀並非證監會今次的調查對象,而它們均已就有關調查作出配合。有關限制通知書並不影響該等經紀行的運作或它們的其他客戶。
有關限制通知書禁止這3間經紀行在未取得證監會的事先書面同意的情況下,以任何方式處置或處理、輔助、慫使或促致另一人以任何方式處置或處理該等帳戶內的若干資產。若該等經紀行接獲任何與上述指明的限制有關的指示,亦須通知證監會。
證監會指,即將根據《證券及期貨條例》第214條,在原訟法庭對指尖悅動的現任或前任管理團隊展開民事法律程序,而該3名人士在該民事法律程序中為答辯人。證監會亦將尋求法庭對該3名人士頒布須向指尖悅動作出賠償的命令。
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