Hongkong Securities Regulatory Commission prohibits strict ice re investment industry for three year-remonstrate

Hongkong Securities Regulatory Commission ban Yan Bing to rejoin the industry three years Sina App: Live on-line blogger to guide Hong Kong level2 market mechanism cards through the securities and Futures Commission (CSRC) ban Yan Bing (female) for the industry for three years, from February 20, 2016 to February 19, 2019 (Note 1). The Commission has taken such disciplinary actions after investigation. The survey found that Yan in the period from October 2009 to June 2011 as a discretionary approach in the management of a customer in KGI Asia Limited securities transactions for the account, without obtaining the permission of the customer. Yan also use password of the client’s securities account for him his trading, but not for the customers in her securities account issued by the sale to disk instructions to keep any record. The Commission considers that no strict for its customers before the transaction has its mandate, in violation of the provisions of the "code of conduct", so that her character, reliability and licensed proper qualifications questioned (Note 2). In dealing with the strict behavior of the securities account (password using the securities account of the client and the client’s instructions did not keep any record), she did not show act with appropriate skills, prudence and diligence, in order to maintain the customers best interests (Note 3). The Commission in determining penalties, have regard to all relevant circumstances, including strict abuse of trust in her and she has no customers subject to disciplinary record. Note: strictly according to the "Securities and Futures Ordinance" licensed to carry out first types (Stock Exchange), fourth (advising on securities) and type 9 (asset management) regulated activities, and in the period from April 2007 to April 2014 in charge of the identity of belonging to the TEDA asset management company limited. She does not belong to any licensed corporation. "The SFC licensed or registered person" code of conduct ("code of conduct") paragraph 7.1 of the regulations, the Licensee shall not transactions for clients, unless before transactions have been given the name of customer or the designated person authorized to conduct specific transactions. The provisions of the "code of conduct" second general principles, the Licensee in its business, shall act with appropriate skills, careful and diligent attitude, in the best interests of maintaining customer and ensure market integrity robust. Source: Hongkong Securities Regulatory Commission website into [Sina Finance shares] discussion

香港证监会禁止严冰重投业界三年 新浪财经App:直播上线 博主一对一指导 港股level2行情 翻看机构底牌   证券及期货事务监察委员会(证监会)禁止严冰(女)重投业界三年,由2016年2月20日起至2019年2月19日止(注1)。   证监会经调查后采取上述纪律处分行动。调查发现,严在2009年10月至2011年6月期间以非全权委讬的方式管理一名客户在凯基证券亚洲有限公司的证券帐户时,在未取得该客户授权的情况下替其进行交易。   严亦使用该客户的密码登入他的证券帐户替他进行交易,但没有为该客户就她在其证券帐户内发出买卖盘所给的指示,备存任何纪录。   证监会认为严没有在替其客户进行交易前取得其授权,违反了《操守准则》的规定,令她的品格、可靠程度与获发牌的适当人选资格受到质疑(注2)。   严在处理该证券帐户方面的行为(使用其客户的密码登入证券帐户及没有就该客户的指示备存任何纪录),显示她没有以适当的技能、小心审慎和勤勉尽责的态度行事,以维护该客户的最佳利益(注3)。   证监会在厘定罚则时,已考虑到所有相关情况,包括严滥用了客户对她的信任及她并无遭受纪律处分的纪录。   备注:   严根据《证券及期货条例》获发牌进行第1类(证券交易)、第4类(就证券提供意见)及第9类(资产管理)受规管活动,并在2007年4月至2014年4月期间以负责人员的身分隶属于泰达资产管理有限公司。她现时并不隶属任何持牌法团。   《证监会持牌人或注册人操守准则》(《操守准则》)第7.1段规定,持牌人不应为客户进行交易,除非在进行交易之前已获得该名客户或其指定的人士特定授权进行交易。   《操守准则》第2项一般原则规定,持牌人在经营其业务时,应以适当的技能、小心审慎和勤勉尽责的态度行事,以维护客户的最佳利益及确保市场廉洁稳健。   来源:香港证监会网站 进入【新浪财经股吧】讨论相关的主题文章: