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證監會指人保香港涉及基金管理缺失 罰款280萬元
阿思達克 02-05 16:49
證監會譴責中國人保香港資產管理並處以280萬元罰款,原因是該公司在2018年5月至2020年5月擔任基金經理時,沒有履行其應盡的職責。 證監會經調查後發現,中國人保沒有妥善管理該基金,以確保基金的投資符合其訂明的投資策略、目標及投資限制。中國人保亦沒有就該基金的風險管理實施充足及有效的內部監控措施,亦無對獲委任為基金投資經理的人員進行充分監督。 自該基金於2018年5月成立至2020年1月為止的21個月期間內,其投資組合中僅有一至三隻股票,有違該基金的投資目標及策略。該基金的持倉高度集中於兩隻香港上市股票,而其中一隻股票不在中國人保高級管理層所批准的許可證券名單上。 證監會指,中國人保沒有制訂充足的內部監控措施,以確保該基金遵從投資授權及管理這方面的不合規情況。中國人保亦無採取有效的監控措施來管理該基金的流動性和集中風險,以及確保其止蝕程序獲得遵從。
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