匯豐證券經紀遭證監會譴責 並罰款630萬元
證監會譴責匯豐證券經紀並處以罰款630萬元,因該公司曾干犯內部監控缺失及違反《操守準則》。
證監會發現,在2018年9月至2021年9月期間,匯豐證券經紀在向買賣滬深港通下北向交易的合資格A股(亦稱為中華通證券)的客戶編配券商客戶編碼,將客戶識別信息與券商客戶編碼進行配對,及在向其客戶指令附加券商客戶編碼方面,犯有多項錯誤,以致沒有確保聯交所的《交易所規則》獲得遵循。結果,匯豐證券經紀向聯交所提交錯誤的券商客戶編碼及客戶識別信息,當中涉及92名客戶、337.9萬項交易指令及420.25萬宗交易。
該些錯誤是由於匯豐證券經紀在與客戶建立業務關係及編配券商客戶編碼方面的流程存在缺失所致,包括在保存券商客戶編碼資料時使用涉及多個系統的多層數據架構,以人手方式開立帳戶,及在各系統之間更新數據時採用人手操作。
證監會亦發現,匯豐證券經紀在2019年2月至6月期間,曾九次超賣100隻中華通證券,導致有30隻中華通證券的交收無法完成。當中有七次超賣事件是由於匯豐證券經紀的交易指令管理及程式買賣系統存在多項缺失所致,顯示匯豐證券經紀沒有制訂足夠的監控措施以防止出現超賣交易指令。
此外,證監會發現,匯豐證券經紀在2020年5月22日進行權證莊家活動時,當其莊家活動系統在聯交所中午休市期間重新啟動後,匯豐證券經紀錯誤地自行配對370項權證交易指令。匯豐證券經紀錯誤地假設當時所有交易指令會透過聯交所提供的功能及在莊家活動系統重啟期間透過其內置邏輯自動取消。在下午1時正恢復交易時,市場上的新交易指令與先前尚未取消的交易指令自行配對。
匯豐發言人表示,匯豐證券經紀接納證監會及聯交所的調查結果。集團發現相關失誤後,主動向證監會及聯交所匯報,並採取補救步驟及改善措施,及全面配合相關調查。另重申有關事件並未有為客戶構成任何損失。
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