匯豐因研究報告披露缺失遭證監會譴責並罰款420萬元
匯豐因在過去八年於發表關於香港上市證券的研究報告時違反披露規定,遭證監會譴責並罰款420萬元。
在匯豐自行作出匯報後,金管局與證監會合作展開調查。兩家監管機構發現,匯豐在2013年至2021年期間發表的研究報告中,沒有披露及或錯誤地披露其與多家公司之間的投資銀行業務關係。這些問題源於匯豐在系統之間的數據紀錄和配對存在缺失,估計令超過4,200份關於香港上市證券的研究報告的披露受到影響。
證監會認為,匯豐沒有以適當的技能和小心審慎的態度行事,亦沒有設立有效的系統及監控措施,以確保遵守披露規定及其研究報告中披露內容的準確性。
證監會在決定採取上述紀律處分時,已考慮到所有相關情況,包括:沒有證據顯示客戶因有關披露問題而蒙受損失;匯豐已進行審查,以識別有關違規行為的根本原因及範圍;匯豐已採取措施以改善其系統及監控措施,防止日後發生違規行為;及匯豐與金管局及證監會合作解決在調查中所識別的關注事項。
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