Changjiang Securities Assets was fined 3.4 million Hong Kong dollars for illegal and i

Changjiang Securities Asset Management (Hong Kong) Co., Ltd. (referred to as Yangtze Securities Assets) was fined 3.4 million yuan (Hong Kong dollars, the same as S $ 574,800) due to the lack of violations and internal surveillance.

The Hong Kong Securities and Futures Affairs Supervision Committee (referred to as the Hong Kong Securities Regulatory Commission) issued a press release on the official website to report on the official website on Thursday (July 13).

According to the press release, the Hong Kong Securities Regulatory Commission condemned the Yangtze River Securities assets and fined fines because the company provided unilateral accounts to customers and provided accounts to customers unilaterally, violating regulatory regulations and committed internal monitoring.

The Hong Kong Securities Regulatory Commission found that from May 2015 to August 2017, Changjiang Securities Assets did not fully separate customer funds, involving the amount of 300 yuan to 1.05 million yuan;Divided by the customer's payment within the Ming Dynasty, involving the amount from 650,000 to 8.55 million yuan; and after notice that he did not fully separate the customer's payment, he did not immediately notify the CSRC.

The assets of Changjiang Securities violated the rules of securities and futures (customer funds) rules and routing standards.

Changjiang Securities Assets also violate the rules of securities and futures (transaction orders, hukou orders and receipts) rules and routing standards.During the month, it issued an inaccurate accounting order to the three customers, and 19 times from January to June 2017 did not provide the household registration order to the four customers within 19 times.

When the Hong Kong Securities Regulatory Commission decided to take the above discipline, all relevant situations have been taken into account, including the Yangtze Securities Assets asset responsibility, and there was no record of disciplinary sanctions in the past.

According to economic reference network reports, in recent years, the Hong Kong Securities Regulatory Commission has continued to strengthen supervision and repeatedly condemned and fined brokerage institutions.

In June this year, Taiping Securities (Hong Kong) Co., Ltd. was condemned and fined 1.3 million yuan.The reason is that Taiping Securities has a lack of internal surveillance from January 1, 2016 to November 30, 2018.

Zhongan Securities Co., Ltd. was also condemned and fined 6 million yuan in May, because from November 25th to December 6th, 2019, the company was committed to a shareholding agent.There is a lack of.

Guoxin Securities (Hong Kong) brokerage Co., Ltd. was condemned for the treatment of customer assets and providing customer accounts in December 2022, and was fined 2.8 million yuan.