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证监会向15家经纪行发出限制通知书 冻结与怀疑社交媒体「唱高散货」骗局有关客户帐户
阿思达克 03-15 18:22
证监会向15家经纪行发出限制通知书,禁止它们处理或处置32个交易帐户内的某些资产。这些资产与一宗怀疑社交媒体「唱高散货」骗局有关,当中涉及於2019年11月至2020年11月期间就一家在香港联合交易所有限公司上市的公司的股份进行的市场操纵活动。

该15家经纪行分别是:勤丰证券有限公司、中国银河国际证券(香港)有限公司、中国通海证券有限公司、英皇证券(香港)有限公司、进?证券有限公司、名汇证券有限公司、富途证券国际(香港)有限公司、华泰金融控股(香港)有限公司、一盈证券有限公司、凯基证券亚洲有限公司、聚富证券有限公司、所罗门证券有限公司、新鸿基投资服务有限公司、太阳国际证券有限公司及禹洲金融控股(香港)有限公司。

有关限制通知书禁止这些经纪行在没有事先取得证监会的书面同意的情况下,以任何方式处置或处理,或辅助、怂使或促致另一人以任何方式处置或处理该等交易帐户内的任何资产(以某个数额为限),包括:(i)订立交易以取得股份;(ii)处理证券及/或现金的任何提取或转移,或处理因处置证券而产生的款项的任何转移;(iii)按该等帐户的任何获授权人或任何代客户行事的人的指示处置或处理任何证券及/或现金;及(iv)辅助另一人以指明或以外的方式处理任何有关财产。若该等经纪行接获任何上述指示,亦须通知证监会。

证监会认为,就维护投资大众或公众利益而言,发出有关限制通知书是可取的做法。

证监会的调查仍在进行中。

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