證監會譴責長江證券資產管理(香港)內部監控缺失 違反監管規定罰款340萬元
證監會譴責長江證券資產(香港)在分隔客戶款項及向客戶提供戶口結單方面違反監管規定及犯有內部監控缺失,處以罰款340萬元。
證監會表示,調查發現長江證券資產在2015年5月至2017年8月期間,多次沒有充分分隔客戶款項,涉及款額介乎300元至105萬元;三次沒有在訂明時限內分隔其收取的客戶款項,涉及款額介乎651,518元至850萬元;以及在察覺自己未有充分分隔客戶款項後,未有立即通知證監會。
證監會裁定長江證券資產違反《證券及期貨(客戶款項)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》的規定,原因是調查發現長江證券資產在2016年12月至2017年2月期間向三名客戶發出不準確的戶口結單,且在2017年1月至6月期間曾19次沒有在訂明時限內向四名客戶提供戶口結單。
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