人行處罰四機構 罰款逾1,124萬人幣
據《央廣網》報道，近日，人民銀行營業管理部(北京)公示四則行政處罰信息，友利銀行、中金公司(03908.HK)、易寶支付、北京暢捷通及各自相關責任人分別被罰款202.6萬元人民幣(下同)、219.8萬元、299.24萬元、403萬元，合計超1,124萬元。
行政處罰信息顯示，友利銀行因提供個人不良信息未事先告知、超期向人民銀行報備單位銀行結算賬戶開立資料、未按規定履行客戶身份識別義務等三項違法行爲，被人民銀行給予警告並處罰款198.5萬元。時任友利銀行行長、反洗錢工作領導小組組長蔡優錫對友利銀行未按規定履行客戶身份識別義務的違法行爲負有責任，被人民銀行處以罰款4.1萬元。
中金公司因未按照規定履行客戶身份識別義務、未按照規定報送大額交易或可疑交易報告，被處罰款185.8萬元。同時，中金公司四名相關責任人受到處罰。中金公司時任反洗錢小組執行組長、法律合規部負責人陳剛、時任財富管理部董事總經理李徵、時任股票業務部董事總經理王緬、時任信息技術部執行總經理張旻因對中金公司上述兩項違法行爲負有責任，分別被處罰款8.63萬元、8.37萬元、8.37萬元、8.63萬元。
易寶支付因未按照規定履行客戶身份識別義務、未按規定報送可疑交易報告，被處罰款291.1萬元。時任易寶支付總經理、反洗錢領導小組組長唐彬因對易寶支付上述違法行爲負有責任，被人民銀行罰款8.14萬元。
暢捷通支付涉及的八項違法行爲包括：支付交易信息不符合真實性、完整性、可追溯性的要求；違規開展代收業務；未落實特約商戶檢查責任；交易結算管理不規範；交易限額管理不規範；未按規定管理特約商戶檔案資料，未及時更新商戶信息；未建立落實商戶培訓制度；爲金融企業或從事金融業務的企業開立支付賬戶。
Follow us
Find us on
Facebook,
Twitter ,
Instagram, and
YouTube or frequent updates on all things investing.Have a financial topic you would like to discuss? Head over to the
uSMART Community to share your thoughts and insights about the market! Click the picture below to download and explore uSMART app！
Disclaimers
uSmart Securities Limited (“uSmart”) is based on its internal research and public third party information in preparation of this article. Although uSmart uses its best endeavours to ensure the content of this article is accurate, uSmart does not guarantee the accuracy, timeliness or completeness of the information of this article and is not responsible for any views/opinions/comments in this article. Opinions, forecasts and estimations reflect uSmart’s assessment as of the date of this article and are subject to change. uSmart has no obligation to notify you or anyone of any such changes. You must make independent analysis and judgment on any matters involved in this article. uSmart and any directors, officers, employees or agents of uSmart will not be liable for any loss or damage suffered by any person in reliance on any representation or omission in the content of this article. The content of this article is for reference only. It does not constitute an offer, solicitation, recommendation, opinion or guarantee of any securities, financial products or instruments.The content of the article is for reference only and does not constitute any offer, solicitation, recommendation, opinion or guarantee of any securities, virtual assets, financial products or instruments. Regulatory authorities may restrict the trading of virtual asset-related ETFs to only investors who meet specified requirements.
Investment involves risks and the value and income from securities may rise or fall. Past performance is not indicative of future performance.
