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證監會禁止羅文偉重投業界三年
阿思達克 06-19 16:46
證監會禁止信達國際前持牌代表羅文偉重投業界三年,由2025年6月19日起至2028年6月18日止。 證監會經調查後採取上述紀律行動。調查發現,羅文偉曾使用其胞姐和朋友在信達國際及另一家經紀行持有的帳戶進行個人交易。 2023年3月至9月期間,羅在其胞姐和朋友的帳戶,及他於信達國際的個人帳戶內,就九隻股票執行了合共109項對盤或清洗交易。羅進行上述交易,是為免因可能被追繳保證金而遭強制平倉,但他沒有考慮該等交易對有關股票的交易價格或成交量的潛在影響。 證監會亦發現,羅文偉故意隱瞞其在該等帳戶中的實益權益及個人交易,違反了信達國際的員工交易政策。他亦使用信達國際的錄音電話線向其胞姐和朋友確認已執行的交易,並將他們簽署的交易指令紀錄提交予信達國際,藉此造成該等交易指令由他們作出的假象,但事實並非如此。 此外,羅文偉假冒其朋友的身分,透過其朋友於另一家經紀行的帳戶作出交易指令,而該經紀行並不知悉羅當時正在操作該帳戶。 證監會認為羅文偉的行為不誠實,並令人對他獲發牌的適當人選資格產生重大關注。在決定採取有關處分時,證監會已考慮到,沒有足夠證據證明羅文偉是出於操縱市場的意圖而進行有關清洗及對盤交易,以及羅過往並無遭受紀律處分的紀錄。
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