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證監會譴責民衆期貨違反監管規定 罰款340萬元及暫時吊銷其前負責人員牌照
證監會(SFC)公佈,民衆期貨(現名裕承環球)因在2017年6月至2018年12月期間沒有遵從打擊洗錢及恐怖分子資金籌集規定和其他監管規定,遭SFC譴責及罰款340萬元。 證監會亦暫時吊銷民衆前負責人員、董事總經理兼負責主要業務的核心職能主管李振基的牌照四個月,由2025年6月20日起至2025年10月19日止,原因是民衆的缺失有部分歸咎於他沒有履行其職責。 證監會的調查發現,民衆在關鍵時間沒有對89名客戶用以發出交易指示的客戶自設系統進行任何盡職審查,以致未能妥善評估並管理與其客戶使用該等客戶自設系統相關的洗錢及恐怖分子資金籌集(洗錢/恐怖分子資金籌集)風險和其他風險。 此外,存入六名客戶的帳戶內的款項與他們所聲明的財政狀況並不相稱。由於民衆沒有維持有效的監察系統,故未能偵測及評估有關存款並進行適當的查詢,也未能妥善處理相關的洗錢/恐怖分子資金籌集風險。 證監會更發現,民衆沒有設立有效的持續監察系統,以偵測客戶帳戶內的可疑交易模式,原因是六名客戶的帳戶曾進行頻繁而大量的交易,及在許多情況下,同一客戶於同一秒內以同一價格就同一期貨合約作出買賣指示。 SFC認爲,民衆的系統和監控措施不足及成效不彰,且民衆沒有確保《打擊洗錢及恐怖分子資金籌集條例》、《打擊洗錢指引》和《操守準則》獲得遵從。 證監會在決定對民衆及李振基採取上述紀律處分時,已考慮民衆及李振基沒有勤勉盡責地監察其客戶活動;有需要向市場傳遞具阻嚇力的強烈訊息,以示有關缺失不可接受;民衆及李振基過往並無遭受證監會紀律處分的紀錄;及裕承環球的財務狀況及它已停止營業,若非這些因素,證監會便會對該公司處以900萬元的罰款。
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